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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

Self-Regulatory Organizations and Investor Protection Funds

Self-Regulatory Organizations

A Self-regulatory organization (SRO) is an organization that represents its members and is organized for the purpose of regulating the operations, standards of practice, and business conduct of its members and their representatives with a view to promoting the protection of investors and the public interest through the establishment of rules that promote ethics and equality. T​he Securities Act (Alberta) gives the ASC authority to recognize SROs. The SROs currently recognized by the ASC are the Mutual Fund Dealers Association of Canada (MFDA) and Investment Industry Regulatory Organization of Canada (IIROC).

Click on a title to see the documents associated with each organization.

  1. Mutual Fund Dealers Association of Canada (MFDA)​
  2. Investment Industry Regulatory Organization of Canada (IIROC)​

Investor Protection Funds

The Canadian Investor Protection Fund (CIPF) is a compensation fund approved by the ASC. CIPF protects, within defined limits, the cash and securities of eligible customers of investment dealers that are members of CIPF's sponsoring organizations, in the event of such member's insolvency.

The MFDA Investor Protection Corporation (MFDA IPC) is a compensation fund approved by the ASC. The MFDA IPC provides protection to eligible customers of MFDA members on a discretionary basis to prescribed limits if securities, cash and other property held by any such member are unavailable as a result of the member's insolvency.

Click on a title to see the documents associated with each organization.

  1. Canadian Investor Protection Fund (CIPF)
  2. MFDA Investor Protection Corporation (MFDA IPC)
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