Complaints Outside of IIROC’s Jurisdiction

If you wish to make a complaint or inquiry regarding an advisor or firm outside of IIROC’s jurisdiction, here are some options:

Complaints regarding Mutual Fund Dealers or advisors across Canada should be directed to the Mutual Fund Dealers Association of Canada (MFDA), the national self-regulatory organization for the distribution side of the Canadian mutual fund industry. MFDA’s complaints area can be reached at 416-361-6332 or toll-free at 1-888-466-6332, by e-mail at [email protected], or by fax at 416-361-9073.

While IIROC’s mandate includes setting and enforcing market integrity rules regarding trading activity on Canadian debt and equity marketplaces, we do not have jurisdiction over specific issuers of securities or their directors, officers or employees. If you have a complaint involving issuers of securities, you can retrieve issuer profiles, including the principal regulator for the company, at www.sedar.com.

Provincial securities commissions regulate investment fund managers, scholarship plan dealers, exempt market dealers, restricted dealers and portfolio managers. Links to provincial and territorial securities commissions can be found here:

Complaints Outside of IIROC’s Jurisdiction

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