Related Links
Want to learn more about investing? Click on the topics below.
Canadian Association for Pension Supervisory Authorities (CAPSA) Canadian Investor Protection Fund (CIPF) Financial Consumer Agency of Canada (FCAC)Competition Bureau
Canadian Association for Pension Supervisory Authorities (CAPSA)
Canadian Investor Protection Fund (CIPF)
Financial Consumer Agency of Canada (FCAC)
Investment Industry Regulatory Organization of Canada (IIROC)
Mutual Fund Dealers Association of Canada (MFDA)
Ombudsman for Banking Services and Investment (OBSI)
System for Electronic Document Analysis and Retrieval (SEDAR) - SEDAR includes the disclosure documents, such as financial statements, news releases and prospectuses, that public companies are required to file with the Canadian securities regulatory authorities.
System for Electronic Disclosure by Insiders (SEDI) - SEDI includes reports on securities holdings and trading of insiders of Canadian public companies.
National Registration Database (NRD) - The National Registration Database (NRD) is an electronic database containing registration information for dealers, underwriters, advisers and individuals registered under securities and commodity futures legislation in Canada. NRD is also a system used by applicants and registrants to electronically submit certain applications, notices and other registration information to securities regulatory authorities and self-regulatory organizations.
Electronic Data Gathering and Retrieval (EDGAR) - EDGAR includes disclosure documents that public companies are required to file with the U.S. Securities and Exchange Commission.
CTO Database - You can determine if a company has been issued a CTO by a provincial securities commission, or you can check the status of an existing CTO, by searching the Company Cease Trade Order Database. The database contains the names of all companies that issue securities whose securities have been recently or previously cease-traded by a securities commission in Canada in the regions indicated. The Other CTO database contains individuals or companies who have been ordered to cease trading in certain circumstances.
TSX Venture Exchange (TSX Venture)
Montreal Exchange (ME)
Toronto Stock Exchange (TSX)
ICE Futures Canada (formerly the Winnipeg Commodity Exchange)
Canadian National Stock Exchange (CNSX)
Other Regulatory Organizations
Investment Industry Regulatory Organization of Canada (IIROC) - IIROC is the national self-regulatory organization that oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.
IIROC has produced a brochure “Why IIROC Matters to You, The Investor” which informs investors about IIROC’s regulatory mandate and responsibilities and specifically its role in investor protection. It contains useful information about Registrants’ registration requirements, proficiency and continuing education requirements, IIROC’s business conduct and financial adequacy requirements, and the Canadian Investor Protection Fund (CIPF). A copy of this brochure is available here.
Mutual Fund Dealers Association of Canada (MFDA) - The MFDA is the national self-regulatory organization (SRO) for the distribution of the Canadian mutual fund industry.
U.S. Securities and Exchange Commission (SEC) - The SEC is the U.S. securities regulatory and enforcement agency that administers and enforces federal securities laws in order to protect investors, and to maintain fair, honest, and efficient markets.
North American Securities Administrators Association (NASAA) - NASAA is an international, voluntary organization devoted to investor protection. Its members consist of state, provincial, and territorial securities administrators in the United States, Puerto Rico, Canada and Mexico
International Organization of Securities Commissions (IOSCO) - IOSCO is an organization of securities commissions around the world that co-operate to promote high standards of regulation, to exchange information and to unite to establish standards and effective surveillance of international securities transactions.
Canadian Investor Protection Fund (CIPF) - CIPF protects clients' cash and securities held in an IIROC, Toronto Stock Exchange, TSX Venture Exchange or Montreal Exchange member firm if the firm becomes financially insolvent.
MFDA Investor Protection Corporation (MFDA IPC) - The MFDA IPC provides protection to eligible customers of members of the Mutual Fund Dealers Associations of Canada (MFDA) on a discretionary basis to prescribed limits if securities, cash and other property held by any such member are unavailable as a result of the member’s insolvency.
Ombudsman for Banking Services and Investment (OBSI) - OBSI is an independent service for resolving banking services and investment disputes. Their services are free to consumers.
Canadian Association for Pension Supervisory Authorities (CAPSA) - CAPSA is a national inter-jurisdictional association of pension regulators whose vision is a coordinated, simplified and harmonized pension regulatory system in Canada. In pursuing its vision, CAPSA works to protect the entitlements of pension plan beneficiaries while fostering a healthy environment for the establishment and continuation of pension plans.
Financial Consumer Agency of Canada (FCAC) - The FCAC has developed The Money Belt, your gateway to financial learning.