Looking up an Investment Advisor or Firm

Make sure an investment advisor is registered with IIROC by searching the AdvisorReport.

The report lets you research the qualifications and the background of advisors registered with IIROC, including if they have been disciplined. 

To check if a firm is regulated by IIROC, you can search this directory.

You can also Search Disciplinary Cases for disciplinary information on current or former IIROC-regulated firms and individuals.

IIROC’s Unpaid Fines Report identifies regulated individuals who have not paid the full amount of a fine, disgorgement, and/or costs order imposed as a result of enforcement proceedings before an IIROC hearing panel.

Other regulatory organizations have their own online services that let you search for registration status and disciplinary records.

You can find some of those links here.

Welcome to CIRO.ca!

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

You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. 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 CIRO.ca, 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.