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Advisory Standards/Best Interests Duty
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Corporate Governance & Shareholder Rights
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Guide for ETF and Mutual Fund Facts
Consumer Investment Complaints Guide
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Debt Repayment Options and Credit Repair
Financial Fraud Resources
Other Links
Canadian Securities Regulators
- Alberta Securities Commission
- British Columbia Securities Commission
- The Manitoba Securities Commission
- New Brunswick Securities Commission
- Securities Commission of Newfoundland and Labrador
- Government of Northwest Territories – Registrar of Securities
- Nova Scotia Securities Commission
- Government of Nunavut – Registrar of Securities
- Ontario Securities Commission
- Government of Prince Edward Island – Office of Attorney General Securities Division
- Authorité des Marchés Financiers (Quebec)
- Saskatchewan Financial Services Commission – Securities Division
- Government of Yukon – Registrar of Securities
- The Cooperative Capital Markets Regulatory System
Self Regulatory Organizations and Recognized Exchanges
- Canadian Investor Protection Fund (CIPF)
- Canadian National Stock Exchange (CNSX)
- Investment Industry Regulatory Organization of Canada (IIROC)
- Montreal Exchange (MX)
- Mutual Fund Dealers Association of Canada (MFDA)
- Toronto Stock Exchange (TSX)
- TSX Venture Exchange (TSX Venture)
Investor and Shareholder Rights Organizations
- Canadian Coalition for Good Governance (CCGG)
- CanadianFundWatch.com – Ken Kivenko
- Consumer Federation of America – Investor Protection
- International Corporate Governance Network (ICGN)
- La Coalition pour la protection des investisseurs
- Le Mouvement d’éducation et de défense des actionnaires (le MÉDAC)
- Ontario Investor Advisory Panel (IAP)
- Shareholder Association for Research and Education (SHARE)
- Small Investors Protection Association (SIPA)
Compensation Funds
Dispute Resolution Services
- ADR Chambers Banking Ombuds Office – Dispute resolution provider for banking complaints of TD Bank and Royal Bank of Canada
- IIROC’s Arbitration Program
- Ombudsman for Banking Services and Investments (OBSI)
- Quebec’s Complaint Process
Securities Regulators’ Investor Offices
International
- Australian Securities & Investment Commission
- European Securities and Markets Authority
- Financial Services Consumer Panel
Other
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FAIR Canada
via @FI_Quebec : FAIR Canada désire des clarifications sur les réformes ciblées des @ACVM_Nouvelles
https://t.co/ad2FwbH3Cd
FAIR Canada
FAIR Canada favours banning embedded commissions to meet best interest standards | via @advisorca https://t.co/n7Q8BzWLuy
Osgoode IPC
RT @OsgoodeIPC: Welcome back to school, @OsgoodeNews students! The IPC team is excited for a new semester and a new group of clinic student…
FAIR Canada
FAIR Canada seeks clarity on Client Focused Reforms:
How will firms be able to address conflicts of interest in fou… https://t.co/voc9xT4Tyv
FAIR Canada
FAIR Canada seeks answers from CSA
https://t.co/jrYVkRY5HV
SeekAdvisor Canada
RT @SeekAdvisorCA: To wit: "...an abundance of evidence has clearly demonstrated that compensation drives behaviour." https://t.co/xpCTLUEV…
FAIR Canada
We have written a letter to the @CSA_News regarding the proposed Client Focused Reforms seeking clarification so th… https://t.co/V8zj6SVaPG
FAIR Canada
The @OSC_News Investor Office has recently published research to better understand and address investor needs and i… https://t.co/pJINJM8Ayp
FAIR Canada
This case demonstrates that Canada needs to implement training and education of staff and make appropriate material… https://t.co/spB3gRSbzp
Investment Executive
RT @IE_Canada: There is growing resistance to the MFDA’s plan to increase #feedisclosure, referred to by some as #CRM3. https://t.co/q90euD…
Ellen Roseman
RT @ellenroseman: Canada needs a best interest standard for financial advisers, so a profit motive won't get in the way of offering sound s…
CNPEA
RT @cnpea: (1/2) In recent years programs like "Financial Abuse of Older Adults: Recognize, Review and Respond" (https://t.co/GQ88X6Feft)…
CNPEA
RT @cnpea: 2/2 For instance @OSC_News, @FCACan, @FAIRCanada. For older adults, @CCElderLaw released a fraud prevention tool called #BeaSav…
FAIR Canada
« Fair Canada est déçu que l’OCRCVM, un organisme de réglementation d’intérêt public, ait suspendu ses directives d… https://t.co/5TKEUAeVE0
Janet McFarland
RT @JMcFarlandGlobe: Fortress legal woes grow as St. Catharines project placed in receivership /via @globeandmail https://t.co/tyQPTncdhd
FAIR Canada
FAIR Canada Comments on Draft Prospectus and Related Registration Exemptions for the Cooperative Capital Markets Re… https://t.co/yXkZ2Z7uqX
FAIR Canada
The extent of personal investor information required by the CSE’s Form 9 is disturbing and in our view goes beyond… https://t.co/XNH1z1Ws5F
FAIR Canada
FAIR Canada believes it would be timely for the @CSE_News to update and harmonize its Form 9 information requiremen… https://t.co/rofghBp4Zt
FAIR Canada
FAIR Canada Comments on Proposed @MFDA_News Sanction Guidelines
https://t.co/jEyPdunW5h
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