CIRO & provincial regulators
Canadian securities oversight is divided by activity and jurisdiction. Public searches help confirm a firm's category and permitted business.
CANADA & AUSTRALIA
Registrations and regulatory requirements, made clear.
See which public bodies may apply, what to verify and why the responsible legal provider matters before an account is opened or funded.
Ask a specialist for the verified provider, registration and authorisation information applicable to your region and account.
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REGULATORY DIRECTORY
Requirements depend on the service and jurisdiction.
Registration belongs to a legal entity performing a regulated activity. A brand name, domain or office location does not establish authorisation.
Verification comes before funding
Corvenhall provides an information and onboarding experience. The responsible provider must be identified in your agreement, and its public record should be checked independently.
| Market | Activity or requirement | Authority and verification route |
|---|---|---|
| Canada — federal | Money-services activities and AML/ATF obligations, when applicable. | FINTRAC Money Services Business Registry. Registration is not an endorsement. |
| Canada — securities | Dealer, adviser or representative registration depends on the province and activity. | Canadian Securities Administrators National Registration Search. |
| Canada — dealer oversight | Investment dealer or mutual fund dealer membership, where applicable. | CIRO firm and advisor lookup guidance. |
| Canada — complaints | Independent review may be available after the provider's complaint process. | OBSI eligibility depends on the responsible participating firm and complaint. |
| Australia — financial services | An Australian financial services licence or authorised representative status may be required. | ASIC Financial Advisers Register guidance and ASIC Professional Registers. |
| Australia — AML/CTF | Enrolment and digital currency exchange registration, where applicable. | AUSTRAC enrolment and DCE registration requirements. |
| Australia — complaints | External dispute resolution may be available after complaining to the firm. | Australian Financial Complaints Authority. |
WHO DOES WHAT
Different bodies, distinct responsibilities.
The presence of an authority's name does not mean every product, provider, asset or loss is covered.
FINTRAC
FINTRAC administers Canada's AML/ATF framework and MSB registry. Registry entry does not certify quality, solvency or investment suitability.
ASIC & AUSTRAC
ASIC oversees financial-services authorisations, while AUSTRAC administers AML/CTF obligations and digital currency exchange registration.
OBSI & AFCA
These independent dispute-resolution bodies may review eligible unresolved complaints in Canada and Australia respectively.
ASSET PROTECTION
Coverage follows the institution and asset.
Canada. Cash deposits held with a CDIC member institution may be eligible for CDIC protection, subject to its rules and limits. Eligible securities held by a CIPF member investment dealer may be protected if that dealer becomes insolvent, subject to CIPF terms. Crypto-assets and many digital assets are generally not covered by CDIC or CIPF.
Australia. Eligible deposits with an Australian authorised deposit-taking institution may be covered by the Financial Claims Scheme, subject to its rules and limits. The scheme does not protect investment performance, securities or crypto-assets from market losses.
Protection is not a performance guarantee
Deposit or insolvency arrangements do not reimburse ordinary market losses. Confirm the custodian, account structure, asset type and scheme eligibility in writing.
A practical verification checklist
- Ask for the responsible legal entity's exact name and registration or licence number.
- Search the appropriate official register yourself and compare the business name, address, permitted activities and contact details.
- Confirm who receives and safeguards money or assets, and whether another custodian or payment provider is involved.
- Read the account agreement, fee schedule, risk disclosure, withdrawal conditions and complaint route before paying.
- Stop if someone requests crypto, remote-device access, a password, a one-time code or payment to an unrelated account.
Complaints and external review
First submit the concern through the Corvenhall complaint process. Depending on the responsible provider and your region, an unresolved eligible complaint may then be referred to OBSI or AFCA. Securities regulators and law-enforcement reporting routes remain separate.
No implied licence claim
This directory explains frameworks; it does not state that Corvenhall itself holds every registration named above. Applicable provider details must be supplied and verified for the particular product, activity and jurisdiction before activation.