Helpful information on financial resources, tools, education programs, and IIROC brochures available for investors.
IIROC brochures for investors
The How IIROC Protects Investors brochure (see below) has been developed to inform investors about IIROC’s regulatory mandate and responsibilities and specifically its role in investor protection. IIROC-regulated firms must distribute this brochure, in print or electronic format, to new retail clients at account opening and existing retail clients upon request.
Member firms must also provide the Making a Complaint: A Guide for Investors and How Can I Get My Money Back? A Guide for Investors brochures (see below) to all new clients, existing clients who have submitted a written complaint, and when members respond to a client complaint.
Download How IIROC Protects Investors (Print Version, PDF, 5 pages)
Making a Complaint: A Guide for Investors (Part 1 of 2) provides investors with information on how to make a complaint to IIROC and an IIROC-regulated firm.
How Can I Get My Money Back? A Guide for Investors (part 2 of 2) provides investors with information on options for seeking compensation.
These brochures must be provided by member firms to all new clients, existing clients who have submitted a written complaint, and when members respond to a client. Members are also to provide the How IIROC protects investors brochure (see above) to new clients and existing clients upon request.
Download Making a Complaint: A Guide for Investors (Part 1 of 2) (PDF, 7 pages)
Download How Can I Get My Money Back? A Guide for Investors (part 2 of 2) (PDF, 7 pages)
Opening an Investment Account: A Guide for Inventors
This brochure provides investors with detailed information on the required documentation and personal information they are required to provide firms during the account application process.
Download Opening an Investment Account: A Guide for Investors (PDF, 9 pages)
Copy of the Official Canadian Investor Protection Fund (CIPF) Brochure
This is a copy of the official CIPF brochure. The official brochure can be obtained from any CIPF member.
CIPF provides protection to investors who are clients of firms regulated by IIROC, in the event the firm becomes insolvent or ceases operations due to bankruptcy. CIPF is funded by IIROC-regulated firms and their membership is mandatory.
Corporate Bond Information website
This tool has been designed to assist market participants to make more informed corporate bond trading and investment decisions. Investors can check a day’s trading activity on a given bond, sort trades done by retail and/or institutional clients, and view up to three months of historical trading activity on a given bond. Learn more about IIROC's Corporate Bond Information website.