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:

• Alberta Securities Commission
• British Columbia Securities Commission
• Autorité des marchés financiers (Québec)
• Office of the Yukon Superintendent of Securities
• The Manitoba Securities Commission
• Financial and Consumer Services Commission (New Brunswick)
• Office of the Superintendent of Securities Service Newfoundland and Labrador
• Office of the Superintendent of Securities (Northwest Territories)
• Nova Scotia Securities Commission
• Office of the Superintendent of Securities (Nunavut)
• Ontario Securities Commission
• Financial and Consumer Services Division (Prince Edward Island)
• Financial and Consumer Affairs Authority of Saskatchewan