Organization : Investment Industry Regulatory Organization of Canada
Service Name : Customer Online Complaint Form
Country: Canada
Website : https://www.iiroc.ca/
Online Form : https://www.iiroc.ca/
Making A Complaint:
What Investors and Clients of IIROC-Regulated Firms Need to Know:
At IIROC, we are committed to responding to public complaints in a timely, helpful and fair fashion. We set high quality regulatory and investment industry standards to protect investors.
Related : Ombudsman Make a Complaint Ontario : www.statusin.org/11951.html
We encourage investors to bring their complaints to our attention so that we can take appropriate regulatory action to help ensure that rule infractions do not continue. All IIROC-regulated firms are required to cooperate with their clients and follow IIROC guidelines for handling complaints.
Customer Online Complaint Form:
Please use this form to file a complaint with the Case Assessment Department of the Investment Industry Regulatory Organization of Canada (IIROC). We require a written complaint from the owner of the account(s) in question, indicating the subject of the complaint, the issues involved and specific information regarding times, dates and events. While an individual may file a complaint on behalf of someone else, we require written authorization from the owner of the account in order to proceed with our review of the complaint. A written acknowledgement will be sent by electronic mail within 2 business days after receipt of the complaint if your email address is recorded on page 3 of this form. If further information is required a Case Assessment Officer will contact you.
Our role in protecting investors is to investigate complaints of regulatory violations and to impose penalties on those who are found guilty of such violations. All matters brought to the attention of IIROC are not necessarily regulatory violations that result in disciplinary action. IIROC does not provide financial, investment or legal advice.
If your firm is not in this drop-down list, please contact our toll free Complaints and Inquiries line for assistance at 1-877-442-4322.
How the IIROC Complaints Process Works:
If you think that an advisor or someone else at an IIROC-regulated firm has broken the rules, we want to hear from you. While IIROC cannot assist you directly in getting your money back, the participation of the public in the IIROC complaints process contributes to the success of our efforts to enhance confidence in the fairness of capital markets.
Investors might wish to make a complaint about the actions of their advisor or the advisor’s firm, or about trading activity on a stock exchange or alternative trading system (ATS). Either way, you have the option of launching a complaint directly with the firm or taking the complaint to IIROC, or both.
Investors seeking compensation can take their complaints to the Ombudsman for Banking Services and Investments (OBSI), the Arbitration program or, for Quebec residents, the Autorité des marchés financiers (AMF) mediation service. More information about these options can be found under Getting Your Money Back.
Call our Info/Complaint Line at 1 (877) 442-4322 if you prefer to speak to IIROC staff about making a complaint. IIROC records all calls to and from Complaints & Inquiries team telephone lines.