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.
There are many organizations you can contact if you have a problem with an investment.
The Canadian Investment Regulatory Organization (CIRO) may regulate your advisor or firm. CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces.
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.
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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