Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
We take pride in the regulatory services we provide to Canadians and the investment industry. At CIRO, we view complaints as an opportunity to learn and improve for the future, as well as a chance to put things right for the person who has made the complaint. Our promise to you is that we will handle your complaint promptly, fairly, and in confidence. We are committed to turning any negative experience with the organization into a positive one.
A complaint can be any expression of dissatisfaction about the service you have received or the conduct of an individual or department within CIRO. This could range from concerns about the quality of service, delays in response, the behavior of our staff or any other actions that you feel have not met your expectations or our stated standards.
Please note if your complaint is regarding an advisor, firm or Canadian marketplace regulated by CIRO please visit How to make a complaint page.
The best place to start with a complaint against CIRO is with the person you have been dealing with. If you are not satisfied with their response you may escalate your complaint to their manager. If you remain unsatisfied you may consider lodging a formal complaint to the following email address [email protected].
Formal complaints will be reviewed by CIRO’s General Counsel. The General Counsel's office serves as the final stage of internal review and is committed to resolving all issues of concern.
Procedure for lodging a formal complaint:
After you have lodged your formal complaint:
While we are committed to addressing all your concerns at CIRO, it is important to note that our complaints procedure is not designed to serve as an avenue for appealing regulatory decisions taken by CIRO. The complaints procedure is meant to handle issues of service and conduct, and not to challenge or overturn regulatory decisions.
If you wish to appeal a regulatory decision, you may be able to pursue this through established avenues of appeal and review. Information about such processes may be found on our website or you may contact us for further information.