Search Outside CIRO

Canadian Securities Administrators

The CSA provides information about individuals and firms registered with securities regulatory authorities in Canada (except in Quebec) available through their online National Registration Search tool.

The CSA's Disciplined Persons List is a comprehensive tool listing disciplined individuals by the Mutual Fund Dealers Association and securities regulators in B.C., Alberta, Saskatchewan, Manitoba, Ontario, Quebec, Nova Scotia and New Brunswick.

Provincial commissions

Disciplinary records for current cases against individuals can only be found on the websites of the provincial commissions.

• British Columbia Securities Commission
• Alberta Securities Commission
• Financial and Consumer Affairs Authority (Saskatchewan)
• Manitoba Securities Commission
• Ontario Securities Commission
• Autorité des marché financiers (Quebec)
• Nova Scotia Securities Commission
• Financial and Consumer Services Commission (New Brunswick)

Warning and caution lists

These databases include companies that either appear to be engaging in activities that may pose a risk to investors or may have contacted investors about accounts or investments that don’t comply with securities laws.

• Ontario Securities Commission
• British Columbia Securities Commission
• Financial and Consumer Services Commission (New Brunswick)

Chambre de la sécurité financière

La Chambre is a self-regulatory organization that oversees the training and ethics of financial and insurance professionals in Quebec.

• Disciplinary Committee Decisions

Search in the United States

• The Financial Industry Regulatory Authority (FINRA) is the self-regulatory organization for the US investment Industry. FINRA’s BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers.
• The Securities and Exchange Commission has an online Investment Advisor Public Disclosure Program which provides investors with information about both SEC- and state-registered investment advisor firms. The SEC typically regulates investment advisors that have in excess of $25 million in assets under management.