Canadian Investment Regulatory Organization

AssetPlus is registered as a mutual fund and exempt market dealer under the Canadian Investment Regulatory Organization.

As of January 1, 2023 the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) implemented a special resolution approving the amalgamation of the two self-regulatory organizations (SROs) into a single, enhanced regulator.

For more information, visit their website here.

Provincial Securities Commissions

AssetPlus is registered in BC, Alberta, and Ontario, with its head office location in Richmond, British Columbia. Therefore, its principal regulator is the BC Securities Commission.

For more information, visit their website here.

Canadian Investor Protection Fund

AssetPlus is a member of the Canadian Investor Protection Fund (CIPF), which provides limited protection for property held by a member firm on behalf of an eligible client, if the member firm becomes insolvent.

As of January 1, 2023, the former Canadian Investor Protection Fund (Former CIPF) and the MFDA Investor Protection Corporation (MFDA IPC) were amalgamated to form a new  investor protection fund: the Canadian Investor Protection Fund (CIPF) / Fonds canadien de protection des investisseurs (FCPI).

For more information, visit their website here.

Ombudsman for Banking Services and Investments

AssetPlus is a participating firm of the Ombudsman for Banking Services and Investments (OBSI), an external dispute resolution organization whose responsibility is to resolves disputes between participating banking services and investment firms and their customers if they can’t solve them on their own.

For more information, visit their website here.