Investment resources if you have a problem 

You may be considering investing money with a financial advisor or a firm. Know what your options are if you feel an advisor or firm isn’t respecting your rights.

Learn more about choosing a financial advisor.

There are many organizations you can contact if you have a problem with an investment.

New Self-Regulatory Organization of Canada (New SRO) may regulate your advisor or firm. New SRO is  the national self-regulatory organization that oversees all investment dealers and mutual fund dealers. 

Find out how to file a complaint with New SRO.

The Ombudsman for Banking Services and Investments (OSBI) is a national, trusted, independent dispute-resolution service for consumers. Its members are mainly banks, trust companies and securities dealers.

Find out how to file a complaint with OBSI.

In Canada, securities regulation is the responsibility of the provincial and territorial governments. Find out how they can help if you have a problem.

Here is a list of provincial and territorial securities regulators:

• Alberta Securities Commission
• British Columbia Securities Commission
• Manitoba Securities Commission
• New Brunswick Financial and Consumer Services Commission
• Securities Commission of Newfoundland and Labrador
• Northwest Territories Office of the Superintendent of Securities
• Nova Scotia Securities Commission
• Nunavut Office of the Superintendent of Securities
• Ontario Securities Commission
• Prince Edward Island Office of the Superintendent of Securities
• Autorité des marchés financiers (Quebec)
• Financial and Consumer Affairs Authority of Saskatchewan
• Office of the Yukon Superintendent of Securities

Related links

• Canadian Foundation for Advancement of Investor Rights
• Canadian Securities Administrators