Search Outside CIRO

Canadian Securities Administrators

The CSA provides information about individuals and firms registered with securities regulatory authorities in Canada (except in Quebec) available through their online National Registration Search tool.

The CSA's Disciplined Persons List is a comprehensive tool listing disciplined individuals by the Mutual Fund Dealers Association and securities regulators in B.C., Alberta, Saskatchewan, Manitoba, Ontario, Quebec, Nova Scotia and New Brunswick.

Provincial commissions

Disciplinary records for current cases against individuals can only be found on the websites of the provincial commissions.

Warning and caution lists

These databases include companies that either appear to be engaging in activities that may pose a risk to investors or may have contacted investors about accounts or investments that don’t comply with securities laws.

Chambre de la sécurité financière

La Chambre is a self-regulatory organization that oversees the training and ethics of financial and insurance professionals in Quebec.

Search in the United States