Investment Regulation

The investment industry and its agents are regulated by a wide array of regulatory bodies in Canada. Agents are sometimes known as Investment Advisors, Financial Advisors, Financial Planners, Investment Specialists, Investment Counsellors, Portfolio Managers and other titles sometimes used. Each province has its own regulatory body, and in fact, some have multiple bodies, and agents are regulated based on the products they sell and offer to clients. Complaints against agents, brokers and brokerages are handled differently from province to province. Contact the provincial regulatory authority for additional information, questions and concerns.

Ontario

Ontario Securities Commission
20 Queen Street West, Suite 1903
Toronto, ON M5H 3S8
Telephone: (416) 593-8314
Fax: (416) 593-8122
Email: inquiries@osc.gov.on.ca

Mutual Fund Dealers Association of Canada
121 King Street West
Suite 1000
Toronto, Ontario   M5H 3T9
Telephone: (416) 361-6332
Fax: (416) 361-9073
Email: mfda@mfda.ca
Email: complaints@mfda.ca

Investment Industry Regulatory Organization of Canada Inc. (IIROC)
Suite 2000, 121 King Street West
Toronto, Ontario, M5H 3T9
Tel: (416) 364-6133
Toll free: 1-877-442-4322
Fax: (416) 364-0753
Complaints & Inquiries team toll-free at 1-877-442-4322 or email InvestorInquiries@iiroc.ca.

Ombudsman for Banking Services and Investments (OBSI)
401 Bay Street, Suite 1505
P.O. Box 5
Toronto, ON M5H 2Y4
Telephone: (416) 287-2877
Toll Free Telephone:  1-888-451-4519
Fax: (416)225-4722
Toll Free Fax: 1-888-422-2865
Email: ombudsman@obsi.ca

British Columbia

British Columbia Securities Commission
701 West Georgia Street
P.O. Box 10142, Pacific Centre
Vancouver, B.C. V7Y 1L2
Telephone: (604)899-6854
Toll Free 1-800-373-6393
Fax: (604)899-6506

Mutual Fund Dealers Association of Canada
650 West Georgia Street
Suite 1220, P.O. Box 11603
Vancouver, British Columbia
V6B 4N9
Phone: (604) 694-8840
Fax: (604) 683-6577
Email: PacificOffice@mfda.ca
Email: complaints@mfda.ca

Investment Industry Regulatory Organization of Canada Inc. (IIROC)
Suite 2800 - Royal Centre
1055 West Georgia Street
Vancouver, B.C.
P.O. Box 11164  V6E 3R5
Tel: (604) 683-6222
Fax: (604) 683-3491
Complaints & Inquiries team toll-free at 1-877-442-4322 or email InvestorInquiries@iiroc.ca.

Ombudsman for Banking Services and Investments (OBSI)
401 Bay Street, Suite 1505
P.O. Box 5
Toronto, ON M5H 2Y4
Telephone: (416) 287-2877
Toll Free Telephone:  1-888-451-4519
Fax: (416)225-4722
Toll Free Fax: 1-888-422-2865
Email: ombudsman@obsi.ca

Alberta

Alberta Securities Commission
Suite 600, 250–5th St. SW
Calgary, Alberta
T2P 0R4
Telephone: (403) 297-6454
Fax: (403) 297-6156
Email: complaints@asc.ca

Mutual Fund Dealers Association of Canada
Suite 850, 800 - 6th Avenue S.W.
Calgary, Alberta
T2P 3G3
Phone: (403) 266-8826
Fax: (403) 266-8858
Email: PrairieOffice@mfda.ca
Email: compaints@mfda.ca

Investment Industry Regulatory Organization of Canada Inc. (IIROC)
255-5th Avenue S.W.
Suite 800, Bow Valley Square 3
Calgary, Alberta, T2P 3G6
Tel: (403) 262-6393
Fax: (403) 234-0861
Complaints & Inquiries team toll-free at 1-877-442-4322 or email InvestorInquiries@iiroc.ca.

Ombudsman for Banking Services and Investments (OBSI)
401 Bay Street, Suite 1505
P.O. Box 5
Toronto, ON M5H 2Y4
Telephone: (416) 287-2877
Toll Free Telephone:  1-888-451-4519
Fax: (416)225-4722
Toll Free Fax: 1-888-422-2865
Email: ombudsman@obsi.ca

Manitoba

The Manitoba Securities Commission
500-400 St. Mary Avenue
Winnipeg MB R3C 4K5
Telephone (204) 945-2548
Toll Free 1 (800) 655-5244 (Manitoba Only)
Fax (204) 945-0330
Email: securities@gov.mb.ca
Mutual Fund Dealers Association of Canada
Prairie Regional Office
Suite 850, 800 - 6th Avenue S.W.
Calgary, Alberta
T2P 3G3
Phone: (403) 266-8826
Fax: (403) 266-8858
Email: PrairieOffice@mfda.ca
Email: compaints@mfda.ca

Investment Industry Regulatory Organization of Canada Inc. (IIROC)
Prairie Office
255-5th Avenue S.W.
Suite 800, Bow Valley Square 3
Calgary, Alberta, T2P 3G6
Tel: (403) 262-6393
Fax: (403) 234-0861
Complaints & Inquiries team toll-free at 1-877-442-4322 or email InvestorInquiries@iiroc.ca.

Ombudsman for Banking Services and Investments (OBSI)
401 Bay Street, Suite 1505
P.O. Box 5
Toronto, ON M5H 2Y4
Telephone: (416) 287-2877
Toll Free Telephone:  1-888-451-4519
Fax: (416)225-4722
Toll Free Fax: 1-888-422-2865
Email: ombudsman@obsi.ca

Saskatchewan

Government of Saskatchewan
Financial and Consumer Affairs Authority (FCAA)
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan  S4P 4H2
Phone: (306) 787-5645
Fax: (306) 787-5899

Mutual Fund Dealers Association of Canada
Prairie Regional Office
Suite 850, 800 - 6th Avenue S.W.
Calgary, Alberta
T2P 3G3
Phone: (403) 266-8826
Fax: (403) 266-8858
Email: PrairieOffice@mfda.ca
Email: compaints@mfda.ca

Investment Industry Regulatory Organization of Canada Inc. (IIROC)
Prairie Office
255-5th Avenue S.W.
Suite 800, Bow Valley Square 3
Calgary, Alberta, T2P 3G6
Tel: (403) 262-6393
Fax: (403) 234-0861
Complaints & Inquiries team toll-free at 1-877-442-4322 or email InvestorInquiries@iiroc.ca.

Ombudsman for Banking Services and Investments (OBSI)
401 Bay Street, Suite 1505
P.O. Box 5
Toronto, ON M5H 2Y4
Telephone: (416) 287-2877
Toll Free Telephone:  1-888-451-4519
Fax: (416)225-4722
Toll Free Fax: 1-888-422-2865
Email: ombudsman@obsi.ca

New Brunswick

New Brunswick Securities Commission
85 Charlotte Street, Suite 300
Saint John, NB    E2L 2J2
Reception: 506 658-3060
Fax: 506 658-3059
Toll Free: 866 933-2222 (within NB only)
E-mail: information@nbsc-cvmnb.ca

Mutual Fund Dealers Association of Canada
121 King Street West
Suite 1000
Toronto, Ontario   M5H 3T9
Telephone: (416) 361-6332
Fax: (416) 361-9073
Email: mfda@mfda.ca
Email: complaints@mfda.ca

 

Investment Industry Regulatory Organization of Canada Inc. (IIROC)
Suite 2000, 121 King Street West
Toronto, Ontario, M5H 3T9
Tel: (416) 364-6133
Toll free: 1-877-442-4322
Fax: (416) 364-0753
Complaints & Inquiries team toll-free at 1-877-442-4322 or email InvestorInquiries@iiroc.ca.

 

Ombudsman for Banking Services and Investments (OBSI)
401 Bay Street, Suite 1505
P.O. Box 5
Toronto, ON M5H 2Y4
Telephone: (416) 287-2877
Toll Free Telephone:  1-888-451-4519
Fax: (416)225-4722
Toll Free Fax: 1-888-422-2865
Email: ombudsman@obsi.ca

Nova Scotia

Nova Scotia Securities Commission
P.O. Box 458
Halifax, NS
B3J 2P8
Telephone: (902) 424-7768
Toll Free Number (within Nova Scotia): 1-855-424-2499
Fax: (902) 424-4625

Mutual Fund Dealers Association of Canada
121 King Street West
Suite 1000
Toronto, Ontario   M5H 3T9
Telephone: (416) 361-6332
Fax: (416) 361-9073
Email: mfda@mfda.ca
Email: complaints@mfda.ca

Investment Industry Regulatory Organization of Canada Inc. (IIROC)
Suite 2000, 121 King Street West
Toronto, Ontario, M5H 3T9
Tel: (416) 364-6133
Toll free: 1-877-442-4322
Fax: (416) 364-0753
Complaints & Inquiries team toll-free at 1-877-442-4322 or email InvestorInquiries@iiroc.ca.

Ombudsman for Banking Services and Investments (OBSI)
401 Bay Street, Suite 1505
P.O. Box 5
Toronto, ON M5H 2Y4
Telephone: (416) 287-2877
Toll Free Telephone:  1-888-451-4519
Fax: (416)225-4722
Toll Free Fax: 1-888-422-2865
Email: ombudsman@obsi.ca

Prince Edward Island

PEI Office of the Superintendent of Securities
P. O. Box 2000
95 Rochford Street
4th Floor, Shaw Building
Charlottetown, PE  C1A 7N8
Telephone:  (902) 368-6288
Fax: (902)368-5283

Mutual Fund Dealers Association of Canada
121 King Street West
Suite 1000
Toronto, Ontario   M5H 3T9
Telephone: (416) 361-6332
Fax: (416) 361-9073
Email: mfda@mfda.ca
Email: Email: complaints@mfda.ca

Investment Industry Regulatory Organization of Canada Inc. (IIROC)
Suite 2000, 121 King Street West
Toronto, Ontario, M5H 3T9
Tel: (416) 364-6133
Toll free: 1-877-442-4322
Fax: (416) 364-0753
Complaints & Inquiries team toll-free at 1-877-442-4322 or email InvestorInquiries@iiroc.ca.

Ombudsman for Banking Services and Investments (OBSI)
401 Bay Street, Suite 1505
P.O. Box 5
Toronto, ON M5H 2Y4
Telephone: (416) 287-2877
Toll Free Telephone:  1-888-451-4519
Fax: (416)225-4722
Toll Free Fax: 1-888-422-2865
Email: ombudsman@obsi.ca

Newfoundland

Consumer Affairs Division
Service NL
149 Smallwood Drive
Motor Registration Building
P.O. Box 8700
St. John's, NL
A1B 4J6
Tel: (709) 729-2600
Fax: (709) 729-6998
Toll Free: 1-877-968-2600

Mutual Fund Dealers Association of Canada
121 King Street West
Suite 1000
Toronto, Ontario   M5H 3T9
Telephone: (416) 361-6332
Fax: (416) 361-9073
Email: mfda@mfda.ca
Email: Email: complaints@mfda.ca

Investment Industry Regulatory Organization of Canada Inc. (IIROC)
Suite 2000, 121 King Street West
Toronto, Ontario, M5H 3T9
Tel: (416) 364-6133
Toll free: 1-877-442-4322
Fax: (416) 364-0753
Complaints & Inquiries team toll-free at 1-877-442-4322 or email InvestorInquiries@iiroc.ca


Ombudsman for Banking Services and Investments (OBSI)
401 Bay Street, Suite 1505
P.O. Box 5
Toronto, ON M5H 2Y4
Telephone: (416) 287-2877
Toll Free Telephone:  1-888-451-4519
Fax: (416)225-4722
Toll Free Fax: 1-888-422-2865
Email: ombudsman@obsi.ca

Insurance Agent or Broker?

Your name could be here!



Useful Links


Mortgage Agent or Broker?

Your name could be here!



Our sponsors
TorVest Logo Century21 Regal Reality Logo Premier Planning Logo RAM Contracting Logo
RateSave Canada AppRateSave Canada App