The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investment dealers and
trading activity on debt and equity marketplaces in Canada. IIROC sets high-quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.
The Mutual Fund Dealers Association of Canada ("MFDA") is the self-regulatory organization ("SRO") for mutual fund dealers in Canada. The MFDA protects investors through the enforcement of the MFDA's By-laws, Rules and Polices.
This web site is dedicated to investment fund investor education and protection. The multi-billion fund industry plays a key role in the savings and retirement plans of millions of Canadians. Many industry practices provide beartraps for the unsuspecting investor and securities regulations have not kept up with the pace of change in the industry.
Small Investor Protection Assoc. is a voice for those small investors -- Canadians who have investments from a few thousand dollars to several million dollars, but who do not influence the market or individual share prices and who do not have a financial manager on staff. A non-profit organization supported by members and private donations, SIPA prepares and submits reports to government and regulators, tracks industry fraud and does its best to keep the small investor informed.
Investment Industry Assoc. of Canada represents the investment industry’s position on securities regulation, public policy and industry issues on behalf of our 147 IIROC-regulated investment dealer Member firms in the Canadian securities industry. These dealer firms are the key intermediaries in Canadian capital markets, accounting for the vast majority of financial advisory services, securities trading and underwriting in public and private markets for governments and corporations
The Canadian Coalition for Good Governance (CCGG) is the pre-eminent corporate governance organization in Canada and is uniquely positioned to effect change as the voice of Canadian institutional shareholders. Representing the interests of institutional investors, CCGG promotes good governance practices in Canadian public companies and the improvement of the regulatory environment to best align the interests of boards and management with those of their shareholders, and to promote the efficiency and effectiveness of the Canadian capital markets.
Ombudsman for Banking Services and Investments (OBSI)resolves disputes between participating banking services and investment firms and their customers if they can’t solve them on their own. We are independent and impartial, and our services are free to consumers. You must first complain to the firm involved, but if you remain unsatisfied you have a right to bring your case to us. As an alternative to the legal system, we work informally and confidentially to find a fair outcome. OBSI is not a regulator, and because we are impartial we don’t advocate for consumers or the industry. The limit for our recommendations is $350,000, but many of our cases are for much smaller amounts. However, if your claim is for an amount higher than $350,000 you can voluntarily reduce it.
BCSC has developed InvestRight.org to provide investors with the tools to research and assess potential investments and protect themselves from unsuitable or fraudulent investments. In addition to the website, they have a multi-faceted outreach and education program, linked to the BCSC’s core enforcement and compliance work.
FCNB protects investors by administering and enforcing the New Brunswick Securities Act. We assess each complaint we receive, conduct investigations and have the authority to impose sanctions on those who violate securities laws.
The SEC’s Office of Investor Education and Advocacy provides a variety of services and tools to address problems you may face as an investor. Investor Alerts, focused on recent investment frauds and scams, and Investor Bulletins, focused on topical issues including recent Commission actions, are provided as a service to investors. They are neither legal interpretations nor statements of SEC policy.
The North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada, and Mexico.
In the United States, NASAA is the voice of state securities agencies responsible for efficient capital formation and grass-roots investor protection. Their fundamental mission is protecting consumers who purchase securities or investment advice, and their jurisdiction extends to a wide variety of issuers and intermediaries who offer and sell securities to the public.
The mission of the CFTC is to protect investors and the public from fraud in the commodity futures and options markets. This section: educates consumers about U.S. futures markets ; notifies the public about the types of fraud in the marketplace ; offers guidance on how to file complaints or send in tips regarding suspicious activities ; provides updates on disciplinary actions.
SIFMA (Securities Industry and Financial Markets Association) is the voice of the nation’s securities industry, bringing together the shared interests of hundreds of broker-dealers, banks and asset managers. We advocate for effective and resilient capital markets.
We regulate financial services firms in the UK, including banks and building societies, mortgage and insurance brokers, and financial advisers. We also regulate firms offering consumer credit, which include credit card issuers, payday lenders and debt management firms.
The original Future of Financial Advice (FOFA) package of legislation is contained in two separate but related Acts covering the best interests duty, ban on conflicted forms of remuneration, opt-in and changes to ASIC’s licensing and banning powers.
SCAMwatch is a website run by the Australian Competition and Consumer Commission (ACCC). SCAMwatch provides information to consumers and small businesses about how to recognise, avoid and report scams. They have an Investment Scams section.
IOSCO receives alerts and warnings from its members about firms which are not authorized to provide investment services in the jurisdiction which issued the alert or warning. Some of the alerts or warnings are about unauthorized firms using names similar to those of authorized firms or about unauthorized firms falsely claiming to be associated with authorized firms. The alerts and warnings included in the attached list are provided by IOSCO members on a voluntary basis. The contents of the alerts and warnings are the responsibility of the IOSCO member which issues them. This is not a complete list of all alerts and warnings from all IOSCO members.