Payment status on the Disciplined list is updated every quarter by the issuing jurisdiction or the ruling body.

Additional information can be found on the websites of the issuing jurisdictions or by contacting them directly:

Alberta Securities Commission

• Recovery of Unpaid Orders

British Columbia Securities Commission

• Sanction Payment Status Report

Manitoba Securities Commission

• Unpaid Orders

Financial and Consumer Services Commission (New Brunswick)

• Contact us : http://fcnb.ca/fcnb-contact.html  

Nova Scotia Securities Commission

• Sanction Payment Status Report

Ontario Securities Commission

• Respondents Delinquent in Payment of Commission Orders

Autorité des marchés financiers

• Contact us: https://lautorite.qc.ca/en/general-public/  

Financial and Consumer Affairs Authority of Saskatchewan

• Unpaid Administrative Penalties and Costs

Chambre de la sécurité financière

• Contact us: https://www.chambresf.com/en/contact-us/ 

Canadian Investment Regulatory Organization (CIRO)*

• Investment Industry Regulatory Organization of Canada (IIROC)* Unpaid Fines Report

• Mutual Fund Dealer Association of Canada (MFDA)* Completed cases

^{* Canada’s provincial and territorial securities regulators have recognized the Canadian Investment Regulatory Organization (CIRO) effective January 1, 2023. CIRO consolidates the functions of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA). Prior to January 1, 2023, IIROC was the national self-regulatory organization that oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. Prior to January 1, 2023, the MFDA was the self-regulatory organization for Canadian mutual fund dealers.}