Additional Information on Payment Status

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

British Columbia Securities Commission

Manitoba Securities Commission

Financial and Consumer Services Commission (New Brunswick)

Nova Scotia Securities Commission

Ontario Securities Commission

Autorité des marchés financiers

Financial and Consumer Affairs Authority of Saskatchewan

Chambre de la sécurité financière

Canadian Investment Regulatory Organization (CIRO)*

* 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.