Question 8.
If you suspect that you are the victim of investment fraud what organization should you call?:
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CORRECT!
It can sometimes be confusing to know where suspected fraud should be reported given the multiple jurisdictions of various agencies and organizations. The most important step is for a victim to report instances of potential fraud to any of the above organizations. Information on filing a complaint with the MFDA can be located on the MFDA website at https://mfda.ca/investors/complaints.html. To find the contact information for your Provincial or Territorial Regulatory Authority please follow this link: https://www.securities-administrators.ca/aboutcsa.aspx?id=99. Contact information for filing a complaint with your dealer can be found on the dealer’s website and on your account opening documents.
MFDA and IIROC have consolidated
As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).
New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.
We have set up an interim website for updates and information related to the New SRO including:
- Executive Management
- Governance
- New SRO Rules
- Member Application
- Investor Office and the Investor Advisory Panel
- Information concerning mutual fund dealers registered in Québec
- Complaints
- Careers
Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.
Visit the New SRO interim website