Securities Violations
Last revised October 05, 2018

To search for securities violations, check:

Decisions and orders of provincial regulatory authorities

The Canadian Securities Administrators (CSA) website lists contacts for all jurisdictions.  Decisions of various provincial securities commissions are also searchable on CanLII and Quicklaw*.

For additional sources, see the BC Securities Commission's search guide for Regulatory Fines and Penalties.

Disciplinary decisions of self-regulatory organization

The Investment Industry Regulatory Organization of Canada (IIROC). IIROC was created through the 2008 merger of Market Regulations Services Inc. (service provider for Canadian equity markets including Toronto Stock Exchange (TSX) and TSX-Venture and Investment Dealers Association (IDA).

TSX and IDA decisions dating back to the 1980s are also available on Quicklaw*.

For additional sources, see the BC Securities Commission's search guide for Regulatory Fines and Penalties.

Court decisions

Some sources: CanLII, Quicklaw* (Canadian Judgments database).

For additional sources, see the BC Securities Commission's search guide for Convictions and Litigation.

Newspapers/Industry newsletters

Some sources: FPinfomart.ca*, Stockwatch*

 

*subscriber services

 

References

Canadian Securities Administrators (CSA) - contacts

CanLII

Quicklaw - available on public computer terminals in all Courthouse Libraries

BC Securities Commission - Regulatory Fines and Penalties

BC Securities Commission - Convictions and Litigation

Investment Industry Regulatory Organization of Canada (IIROC). 

FPinfomart.ca (requires subscription)

Stockwatch (requires subscription)