IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces. IIROC's website provides much useful information but not a structured online consumer complaints process.
The Financial Consumer Agency of Canada (FCAC) works to protect and educate consumers in the area of financial services. It provides consumer information and oversees financial institutions to ensure that they comply with federal consumer protection measures. The FCAC is a regulator, and while it takes complaints and provides good general information, it does not respond to consumers to help them resolve individual problems.
The disciplined persons list is intended to assist the public and the securities industry in conducting due diligence. This list reveals the names of all persons disciplined by the Alberta Securities Commission since 2005, the Autorité des marchés financiers since 2004, the British Columbia Securities Commission since 1987, the Bureau de décision et de révision en valeurs mobilières since 2004, the Manitoba Securities Commission since 1999, the New Brunswick Securities Commission since 1991, the Nova Scotia Securities Commission since 2002, the Ontario Securities Commission since 2005, the Saskatchewan Financial Services Commission since 2005 and the Quebec provincial court since 2004. This list also includes the name of persons whose sanctions have now expired.
The Financial Services Commission of Ontario regulates insurance, pension plans, loan and trust companies, credit unions, caisses populaires, mortgage brokering, and co-operative corporations in Ontario. Information is provided on this website to aid consumers in resolving a complaint concerning one of FSCO's regulated sectors.