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Fraud Prevention Forum
Little Black Book of Scams
Canadian Association for Pension Supervisory Authorities (CAPSA)
Financial Consumer Agency of Canada (FCAC)
Investment Industry Regulatory Organization of Canada (IIROC)
Mutual Fund Dealers Association of Canada (MFDA)
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.
Montréal Exchange (ME)
ICE Futures Canada
Canadian National Stock Exchange (CNSX)
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. IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.
The IIROC AdvisorReport is a free online service that provides background information about advisors at IIROC-regulated firms to help investors when they are choosing or using an advisor. Each report provides information about an advisor’s educational qualifications, employment history with IIROC-regulated firms, the services and products that he or she is approved by IIROC to offer and a record of disciplinary history, if any, with direct links to related documents. Click here to try it now
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 self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its 115 Members and their approximately 80,000 Approved Persons with a mandate to protect investors and the public interest.
The MFDA maintains a “Check An Advisor” section of the MFDA website which sets out tools and resources for checking the registration and discipline history of mutual fund advisors. In addition to the registration and discipline history tools provided by the CSA, the MFDA website can help clients find out whether there are any current hearings in-progress against mutual fund dealers. For more information please visit the For Investors section of the MFDA website.
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 was established by the investment industry to protect investors. It is CIPF’s mandate to ensure, within defined limits, that the cash and securities belonging to eligible customers of Canadian investment dealers are returned to them in the event of the insolvency of a CIPF Member.
CIPF is sponsored by the Investment Industry Regulatory Organization of Canada (IIROC) and is the only compensation fund approved by the CSA for IIROC Dealer Members. All IIROC Dealer Members are CIPF Members. For more information visit www.cipf.ca.
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) - The Ombudsman for Banking Services and Investments (OBSI) is Canada’s independent dispute resolution service for consumers and small businesses with a complaint they can’t resolve with their banking services or investment firm.
OBSI’s service is free. As an alternative to the legal system, they work informally and confidentially to find fair outcomes to disputes about banking and investment products and services. OBSI may recommend compensation up to a maximum of $350,000.
OBSI operates in both English and French, and is able to handle inquiries in over 170 languages.
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) - FCAC is an independent body working to protect and inform consumers of financial products and services.
Competition Bureau - The Competition Bureau, as an independent law enforcement agency, ensures that Canadian businesses and consumers prosper in a competitive and innovative marketplace.