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:

Welcome to CIRO.ca!

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

The following sections of the legacy mfda.ca and iiroc.ca sites have been migrated to ciro.ca:

  • Enforcement
  • Hearings
  • Consultations
  • A unified member directory (Dealers We Regulate)
  • Advisor Report

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