Please refer to the following table to assist you with where and how to file a complaint. 

Complaint type

What to do

You wish to file a complaint against a FSRA-approved credentialing body and/or about an approved credential.

 

Not sure if a credentialing body and/or a credential is approved by FSRA? Please visit FSRA’s list of approved credentialing bodies and credentials.

If you are unable to resolve your complaint directly with the credentialing body, you can file a complaint with FSRA.

You wish to file a complaint against an organization that is holding out as an approved credentialing body and/or claiming to offer an approved credential without having the required FSRA approval.

Please visit FSRA’s list of approved credentialing bodies and credentials to validate if the organization and/or credential is not approved by FSRA. 

 

If the organization and/or credential is not on the list of approved credentialing bodies and credentials, please proceed to file a complaint with FSRA.

You wish to file a complaint regarding inappropriate or unprofessional conduct of the Financial Planner (FP) or Financial Advisor (FA) you are dealing with. 

 

Examples can include, but are not limited to:

 

  • dishonest behaviour
  • misappropriation of funds
  • fraud 
  • harassment
  • rude, offensive and abusive language

FSRA does not have the legislative authority to investigate complaints about the conduct of individuals who hold an approved credential from an approved credentialing body. 

 

Step 1: Identify the approved credentialing body that issued the approved credential to the individual Financial Planner (FP) or Financial Advisor (FA) you are dealing with.

 

Step 2: Contact the approved credentialing body and inquire about how to proceed with your complaint.

 

Please note: The FP/FA you are dealing with may also be registered/licensed with one or more regulatory bodies. Ask the individual FP/FA if they are registered or licensed with another regulatory body and, if so, contact the regulatory body to inquire about how to proceed with your complaint. 

 

You may also contact the employer(s) of the FP/FA you are dealing with.

You wish to file a complaint against an individual who is using the Financial Planner (FP) or Financial Advisor (FA) title without an approved credential.

Please note: The title protection framework has a transition period for certain individuals who were already using the FP or FA title before or on January 1, 2020. This permits them to continue to use the titles without having an approved credential for a specified period of time. Speak to your FP/FA and ask if they have an approved credential and/or if they are using the transition period provided under the framework. 

 

If you believe your FP/FA is using the title without an approved credential and does not qualify for the transition period, please complete FSRA’s Complaint Form.

You wish to file a complaint against an individual who is using a title that could reasonably be confused with FP/FA without an approved credential.

Step 1: Verify if the individual you are dealing with has an approved credential from a FSRA-approved credentialing body. 

 

Step 2: If the individual you are dealing with does not have an approved credential from a FSRA-approved credentialing body, please submit a complaint to FSRA.