Broker insurance life futures trading components


Before you work with an advisor, check that they are registered in your province or territory. Canada has two main SROs in the financial sector, one of which is the Investment Industry Regulatory Organization of Canada (IIROC). It also monitors trading on those marketplaces, approves training courses and disciplines member firms and individuals. Learn more about how regulators protect investors.

The new requirements, part of the Client Relationship Model Phase 2 (CRM2) cost and performance reporting requirements, apply to all firms registered to deal in securities or act as portfolio managers.