Tradestone Markets Regulators

Tradestone Markets is a division of Stuart Investment Management Limited which is regulated in Canada by the Investment Industry Regulatory Organization of Canada “IIROC”. IIROC’s head office is Suite 1600, 121 King Street West Toronto, Ontario M5H 3T9.

For further information about IIROC or the role they play in the regulation of the Canadian Securities Industry Please go to their Website.

During the account opening process Tradestone Markets are required to ask a number of questions about you, your financial status, and your experience in investing. IIROC have put together the following brochure which explains why this is necessary. Account Opening Brochure. Stuart Investment Management Limited (Tradestone Markets) is currently  registered in Alberta, British Columbia, Ontario and Quebec only.

Tradestone Markets requires information about your Canadian bank acount and needs a receive a copy of a void cheque from that account. This information is required to verify your identity under the Proceeds of Crime ( Money Laundering) and Terrorist Financing Act. If you have a number of bank accounts, please pick the account from the largest bank, as this will speed up the account opening process. Smaller provincial banks and internet banks for instance could significantly slow the process. Tradestone Markets accepts most Canadian Schedule I & II banks, however if your bank is not on our approved list you may have to visit a Tradestone Markets location for a meeting in person. If you do not have a Canadian Bank account or you only have a bank account at an off shore bank, Tradestone markets may not be able to deal with you. Please contact us for more information.

Tradestone Markets is a member of Canadian Investor Protection Fund (CIPF). For further details about the fund and the way it protects you, they provide much information on their website.

Tradestone Markets recommend every client read the following CIFP information which explains their coverage so that the client understands the protection provided. Please click CIPF Coverage

Tradestone Markets takes its regulatory responsibilities very seriously. If as a client of Tradestone Markets you have any sort of concerns about the service we provide, or the conduct of one of our team members, please email that concern to the firm and we will investigate your issue fully. Please click this Link