Complaints & Guidance

Other Regulators

Investment Industry Regulatory Association of Canada (IIROC)

If you are dealing with a firm that is a member of the Investment Industry Regulatory Association of Canada, you may contact IIROC at iiroc.ca or 1-866-214-7200 to register your complaint. In some cases, the matter may be referred to an arbitrator.

Mutual Fund Dealers Association of Canada (MFDA)

The Mutual Fund Dealers Association of Canada is responsible for regulating all sales of mutual funds by its members in Canada. For more information, please go to the MFDA web site at mfda.ca.The MFDA does not regulate the funds or fund manufacturers – this responsibility remains with the securities commissions.