Useful Links

 

Below is a comprehensive list of Educational Resources, security industry Regulatory Bodies, and Industry Associations in the Canadian investment and financial services sector.

 

Read the descriptions and click on the icons to link to the applicable organizations.

Educational Resources
Fundlibrary.com

FundLibrary.com is a financial resource website targeted to investors and financial professionals seeking reliable investment information at the click of a mouse.

Investopedia

Investopedia is a premiere resource for investing education, personal finance, market analysis and free trading simulators.

Regulatory Bodies
Alberta Securities Commission

The Alberta Securities Commission (ASC) is the regulatory agency responsible for administering and enforcing securities legislation in Alberta, Canada. The ASC maintains the integrity and stability of Alberta’s capital markets, ensuring that investors are protected and that the market operates efficiently.

BC Securities Commission

The British Columbia Securities Commission (BCSC) is an independent provincial government agency responsible for regulating capital markets in British Columbia. The BCSC plays a crucial role in maintaining the integrity and stability of British Columbia’s capital markets, ensuring that investors are protected and that the market operates efficiently.

Canadian Securities Administrators

The Canadian Securities Administrators (CSA) is an umbrella organization of Canada’s provincial and territorial securities regulators whose objective is to improve, coordinate and harmonize regulation of the Canadian capital markets.

CIRO

The Canadian Investment Regulatory Organization (CIRO) is a national self-regulatory organization (SRO) in Canada. It was established on January 1, 2023, through the merger of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association (MFDA). CIRO oversees all investment dealers, mutual fund dealers, and trading activities on Canada’s debt and equity marketplaces.

CIPF

The Canadian Investor Protection Fund (CIPF) was established by the investment industry to protect investors by returning their cash and securities, within defined limits, should an investment dealer go insolvent.

FCAA

The Financial and Consumer Affairs Authority (FCAA) of Saskatchewan is a regulatory body that oversees financial products and services to protect consumers and maintain a fair marketplace. Key functions include consumer protection, regulation of financial services, investor education, and complaint resolution.

 

IIROC

The Investment Industry Regulatory Organization of Canada (IIROC) carries out its regulatory responsibilities by setting and enforcing rules regarding; 1) the proficiency, business and financial conduct of dealer firms and their registered employees, and 2)  integrity regarding trading activity in Canadian equity marketplaces.

MFDA

The Mutual Fund Dealers Association of Canada (MFDA) is the national self-regulatory organization (SRO) for the distribution side of the Canadian mutual fund industry. The MFDA regulates the operations, standards of practice and business conduct of its Members and their representatives with a mandate to enhance investor protection and strengthen public confidence in the Canadian mutual fund industry.

OBSI

The Ombudsman for Banking Services and Investment (OBSI) is Canada’s independent dispute resolution service for consumers and small businesses with a complaint they can’t resolve with their banking services or investment firm.

OSC

The Ontario Securities Commission (OSC) administers and enforces securities law in the province of Ontario. Their mandate is to provide protection to investors from unfair, improper and fraudulent practices, and foster fair and efficient capital markets and confidence in capital markets.

SEDAR

The System for Electronic Document Analysis and Retrieval (SEDAR) is the system that public companies and investment funds use to file public securities documents and information with the Canadian Securities Administrators (CSA).

Industry Associations
CFP

A Certified Financial Planner (CFP) designation is a professional certification for financial planners, recognized for its rigorous standards and comprehensive training. The CFP designation is considered the gold standard in financial planning, ensuring that professionals have the knowledge, skills, and ethical standards to provide high-quality financial advice.

CETFA

The Canadian ETF Association (CETFA) is an association created to provide information, education and access to resources on ETF investing in Canada. Our goal is to be the knowledge source for everything ETF in Canada.

CFA

The Chartered Financial Analyst (CFA) designation is a globally recognized professional credential offered by the CFA Institute. It is considered one of the most respected and rigorous certifications in the investment management field. 

CFA Society

CFA Society Toronto is Canada’s largest society of CFA Charter holders. The society aims to lead the investment profession in Canada by promoting the highest standards of ethics, education, and professional excellence for the ultimate benefit of society.  Members are dedicated to supporting the professional and business development of over 11,000 members in the Canadian investment community.  

CIFP

The Canadian Institute of Financial Planners (CIFPs) is a non-profit association of Canadian Certified Financial Planner® professionals. The association is an independent, effective, and powerful advocate for the CFP certification marks and the financial planning profession in Canada.

CIFSC

The Canadian Investment Funds Standards Committee (CIFSC) was formed by Canada's major mutual fund database and research firms with a self-imposed mandate to standardize the classifications of Canadian-domiciled mutual funds.

CIM

The Chartered Investment Manager (CIM®) designation is the industry standard for discretionary investment and portfolio management services. It is recognized by Canadian securities regulators and ensures that those who earn it are qualified to evaluate and manage all aspects of a client’s investment portfolio. When you earn the CIM®, you become an investment advisor qualified to manage money on a discretionary basis for an increasing number of sophisticated clients.

FP CANADA

FP Canada is a national not-for-profit organization dedicated to advancing professional financial planning in Canada. The FP Canada Standards Council establishes and enforces financial planning standards, sets certification requirements, and develops and delivers the designation of Certified Financial Planner (CFP®). Recognized as the gold standard in financial planning, this certification requires rigorous education, examination, experience, and adherence to ethical standards.

IFIC

The Investment Funds Institute of Canada (IFIC) serves as an information-sharing body for the industry that also advocates on behalf of the industry and its investors, helping to ensure that their voices are heard by regulators and policy makers and have the knowledge, tools and guidance they need to comply with changing requirements.

PMAC

Portfolio Management Association of Canada (PMAC) is a not-for-profit organization that represents firms regulated by provincial securities commissions under the category of “portfolio manager.”  They advocate for the highest standards of unbiased portfolio management in the interest of their clients. PMAC engages with securities regulators and other government agencies, raises awareness about the value of portfolio management, and provides a forum for members to share best practices.