The CSA presents this information as a plain language summary of information found in publicly available documents. The category descriptions provided therein are for the convenience of the reader only. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions.
Sign up to the CSA's e-mail subscription services for immediate notice of additions to the disciplined persons list.
The Chambre de la sécurité financière (Québec only) oversees professionals who work in five sectors, namely group savings plan brokerage, financial planning, insurance of persons, group insurance of persons and scholarship plan brokerage. This list only includes disciplinary decisions relating to securities. For all other sectors, please contact them directly.
Additional information regarding your search results can also be found on the websites of the issuing CSA members or by contacting directly Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association (MFDA) and la Chambre de la sécurité financière (Québec only).