Complaints Outside of CIRO’s Jurisdiction

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

While CIRO’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: