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
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