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Investment Industry Regulatory Organization of Canada
Online Complaint Form

 
Please use this form to report regulatory misconduct to the Complaints & Inquiries Department of the Investment Industry Regulatory Organization of Canada (IIROC). If you have any questions about this process, please contact our Complaints & Inquiries Department at 1-877-442-4322 or InvestorInquiries@IIROC.ca. We require a written submission from the owner of the account(s) in question, indicating the subject of the complaint, the issues involved and specific information regarding times, dates and events. While an individual may report an issue on behalf of someone else, we require written authorization from the accountholder. A Complaints & Inquiries Specialist will contact you shortly after receipt of this form to discuss the matters raised and to obtain any additional information we may require.
 
An important part of our role in protecting investors is to investigate reports of regulatory violations and to impose penalties on those who are found guilty of such violations. All matters brought to the attention of IIROC are not necessarily regulatory violations that result in investigation or disciplinary action. IIROC does not provide financial, investment or legal advice. IIROC provides investors information on dispute resolution options but does not assist them directly in obtaining compensation for any losses suffered.
 
If your firm is not in this drop-down list, please contact our toll free Complaints and Inquiries line for assistance at 1-877-442-4322.
 
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