Registration

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The Securities Act requires anyone in the business of trading or advising in securities or exchange contracts in the province to be registered with The Manitoba Securities Commission. Applicants must meet certain educational standards and capital requirements, and follow detailed conduct, solvency and reporting duties.

National Registration Search

The National Registration Search allows users to search the names of all registered individuals and firms in Canada (except those registered solely with the Ontario Securities Commission). To access the National Registration Search, please visit the National Registration Database.

Click here to search the national registration database.
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Enforcement actions taken against an individual or company and the resulting order are publicly accessible. You can find detailed information about an order by searching under the Orders and Exemptions division or the reasons for decisions under the Hearing and Proceedings section. Orders issued prior to October 1, 1999 are available from the Commission by calling (204) 945-2548.

Investment Industry Regulatory Association of Canada

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

Mutual Fund Dealers Association of Canada

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