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Other Regulator Decisions

Recent Decisions of the Financial and Consumer Services Tribunal

Administrative tribunal hearing decisions and settlement agreements are public records.

From other regulatory bodies

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

IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.

MFDA is the national self-regulatory organization for the distribution side of the Canadian mutual fund industry.

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

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.