Self-Serve Portal

Other Regulator Decisions

From other regulatory bodies

  • Canadian Securities Administrators' Cease Trade Order Database

    Canadian securities regulatory authorities and tribunals who oversee securities regulation in their respective provinces or territories update the Cease Trade Order Database.
     

  • Canadian Investment Regulatory Organization (CIRO)

    On October 20, 2022, the Commission approved the amalgamation of the two existing SROs – the Investment Industry Regulatory Organization of Canada (“IIROC”) and the Mutual Fund Dealers Association of Canada (“MFDA”) into a single enhanced new SRO. The new SRO came into operation on January 1, 2023, and was provisionally named New Self-Regulatory Organization of Canada (“New SRO”). On June 1, 2023, New SRO changed its name to the Canadian Investment Regulatory Organization (“CIRO”), which was approved by provincial and territorial regulators. CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces.

Recently disciplined persons

The Canadian Securities Administrators publishes a disciplined persons list intended to assist the public and the securities industry in conducting due diligence.

If an investment or financial adviser* or broker has ever been disciplined for bad practices, a record of their discipline will be available on the Disciplined Persons List.

To verify if a firm or individual is registered, use the National Registration Search tool from the Canadian Securities Administrators.

Proceedings

Use the following links to access documents related to previous and new proceedings.  

If you have any questions or are unsure about the results of your background search, please contact us.

Undertakings and voluntary actions

Securities

The following undertakings have been requested because the parties listed below appeared to have been engaged in unregistered activity or have otherwise violated securities law. The parties have agreed to discontinue activities described in the undertaking voluntarily.

Failing to comply with an undertaking is a serious offence under the Securities Act. If you believe that a person or company has violated an undertaking listed here, you should contact us.

* The term ’financial adviser’ is not an official category of registration.  For the purposes of this website it includes: securities dealers; advisers; dealing representatives; advising representatives; or other registrants.

Other regulated sectors

The following undertakings have been requested because the parties listed below appeared to have engaged in unlicensed activity or have otherwise violated legislation administered by the Financial and Consumer Services Commission. The parties have agreed to discontinue activities described in the undertaking voluntarily.

Failing to comply with an undertaking is a serious offence under legislation administered by the Financial and Consumer Services Commission. If you believe a person or company has violated an undertaking listed here, you should contact us.