The IIROC Membership Disclosure Policy (pdf) raises public awareness about which Dealer Members and individuals are regulated by IIROC, and the requirements and ethical and professional standards they must follow. Investors will also be able to check if the firm or individual has been disciplined by IIROC.
Under IIROC’s requirements, dealer members must:
- include the IIROC logo on all client account statements
- include the IIROC logo and a link to the IIROC website on the home page of their websites
- display the IIROC decal at each business location where the public has access
- distribute the IIROC official brochure “How IIROC protects investors (pdf)” to new retail clients at account opening and existing retail clients upon request
- provide IIROC's “Making a Complaint (pdf)” and “How Can I Get My Money Back (pdf)” brochures to all new clients, clients who have submitted a written complaint, and when members respond to a client complaint
- A firm with an existing supply of the brochure “An Investor’s Guide to Making a Complaint” may continue to provide that brochure to clients to satisfy its delivery obligation. When the firm’s existing supply runs out, the firm must provide both of IIROC’s new complaints brochures above.
When providing services to retail investors, include a link and visible reference to IIROC’s online advisor check database, IIROC Advisor Report, on their website homepage and on any other Dealer Member webpage that includes a profile of an IIROC-regulated investment advisor.
IIROC publishes four brochures:
All IIROC brochures are available for download, in English and French, on our “Forms and Templates” page.
Orders for physical copies of our brochures can be made on OrderNet.
Dealer Members are responsible for the cost of providing a hard copy of the brochures to retail clients. The minimum order size is 100 brochures. As bulk orders enjoy substantial cost savings, where practical, we suggest ordering “in size” or teaming up with other Member firms for that purpose.
- How IIROC protects investors (pdf) (mandatory distribution) This brochure informs investors about IIROC’s regulatory mandate and responsibilities and specifically its role in investor protection. Dealer Members must distribute this brochure, in print or electronic format, to new retail clients at account opening and existing retail clients upon request.
- Making a Complaint: A Guide for Investors Part 1 of 2 (pdf) (mandatory distribution)
- How Can I Get My Money Back: A Guide for Investors Part 2 of 2 (pdf) (mandatory distribution) These brochures explain how to make a complaint to both IIROC-regulated firms and IIROC as well as the various options for pursuing compensation. Under Rule 2500B, both 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. See Notice 09-0363 for more information.
- Opening an Investment Account: A Guide for Investors (pdf) (optional distribution) 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.
- Strip Bond Information Statement Brochures
Canada's securities regulators have mandated that the Strip Bond Information Statement (pdf) must be provided to all clients before they execute a strip bond trade. For more information on the Strip Bond Information Statement, please see Bulletin 3179.
Brochures published by the Canadian Investor Protection Fund (CIPF) can be ordered directly on the CIPF website.
The IIROC logo, when used, must be clearly visible Dealer Members must include:
- the IIROC logo and a link to the IIROC website on the Dealer Member’s homepage or, where the Dealer Member website or web presence is part of a combined financial institution group website, on the main page for the Dealer Member.
- the IIROC official logo on the front of each account statement that is sent to clients.
The IIROC logo, when used, must be clearly visible.
“Regulated by IIROC” logo
The high-resolution versions of the IIROC logo are available for download, in English and French, on our Forms and Templates.
IIROC’s official logo is also available in electronic format.. Contact Public Affairs at [email protected] to receive the appropriate logo in the format suitable to your needs. The following versions are available:
- English-only, French-only, or bilingual
- Black and white or IIROC colours
- With tag or without tag (“tag” refers to the full organization name beneath the acronym)
IIROC will supply the IIROC Decals to the Dealer Member at no cost. Dealer Members are required to order the IIROC Decal by sending an email to [email protected] with the following information:
- Dealer Member name
- Contact name, address and phone number
- Email address
- Quantities required