| Yukon | Legal Authority: - November 2018: collect fines and collect/present evidence;
Mutual Fund Dealers: - 64 Approved Persons; 15 Branch offices;
Investment Dealers: - 9 Approved Persons;
- 6 Branch offices;
|
| Northwest Territories | Legal Authority: - November 2018: collect fines and collect/present evidence;
Mutual Fund Dealers: - 43 Approved Persons;
- 15 Branch offices;
Investment Dealers: - 1 Approved Persons;
- 3 Branch offices;
|
| Nunavut | Legal Authority: - November 2018: collect fines and collect/present evidence;
Mutual Fund Dealers: - 11 Approved Persons;
- 5 Branch offices;
|
| British Columbia | Legal Authority: Mutual Fund Dealers: - 10,334 Approved Persons;
- 2,006 Branch offices;
- 6 Head offices;
Investment Dealers: - 5,202 Approved Persons;
- 1,536 Branch offices;
- 9 Head offices;
|
| Alberta | Legal Authority: - June 2000: collect fines;
- June 2017: collect/present evidence and statutory immunity;
Mutual Fund Dealers: - 7,615 Approved Persons;
- 1,649 Branch offices;
- 6 Head offices
Investment Dealers: - 3,717 Approved Persons;
- 1,276 Branch offices;
- 13 Head offices;
|
| Saskatchewan | Legal Authority: Mutual Fund Dealers: - 2,055 Approved Persons;
- 560 Branch offices;
- 3 Head offices;
Investment Dealers: - 719 Approved Persons;
- 361 Branch offices;
|
| Manitoba | Legal Authority: - June 2018: collect fines and statutory immunity;
Mutual Fund Dealers: - 2,089 Approved Persons;
- 453 Branch offices;
- 2 Head offices
Investment Dealers: - 699 Approved Persons;
- 271 Branch offices;
- 2 Head offices;
|
| Ontario | Legal Authority: - May 2017: collect fines;
- June 2025: collect/present evidence and statutory immunity;
Mutual Fund Dealers: - 30,612 Approved Persons;
- 6,147 Branch offices;
- 54 Head offices;
Investment Dealers: - 16,155 Approved Persons;
- 3,519 Branch offices;
- 110 Head offices;
|
| Québec | Legal Authority: - June 2013: collect fines;
- June 2018: collect/present evidence and statutory immunity;
Mutual Fund Dealers: - 18,617 Approved Persons;
- 3,161 Branch offices;
- 9 Head offices;
Investment Dealers: - 6,162 Approved Persons;
- 811 Branch offices;
- 23 Head offices;
|
New Brunswick | Legal Authority: - December 2019: collect fines, collect/present evidence and statutory immunity;
Mutual Fund Dealers: - 1,152 Approved Persons;
- 343 Branch offices;
Investment Dealers: - 375 Approved Persons;
- 134 Branch offices;
- 1 Head office;
|
| Nova Scotia | Legal Authority: - October 2018: collect fines, collect/present evidence and statutory immunity;
Mutual Fund Dealers: - 1534 Approved Persons;
- 402 Branch offices;
Investment Dealers: - 612 Approved Persons;
- 193 Branch offices;
|
| Prince Edward Island | Legal Authority: - January 2017: collect fines;
- December 2018: collect/present evidence and statutory immunity;
Mutual Fund Dealers: - 205 Approved Persons;
- 61 Branch offices;
Investment Dealers: - 71 Approved Persons;
- 35 Branch offices;
|
| Newfoundland and Labrador | Legal Authority: - November 2021: collect fines, collect/present evidence and statutory immunity;
Mutual Fund Dealers: - 740 Approved Persons;
- 201 Branch offices;
Investment Dealers: - 135 Approved Persons;
- 55 Branch offices;
|