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

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:

Welcome to!

We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at with our fresh look and feel.

You can now find new publications published by CIRO since January 1, 2023 on If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.

You can now find previous Annual Reports and Enforcement Reports on, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).

We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.