Custodial agreement (general)

This agreement is a custody agreement between a custodian and a Dealer Member outlining the terms upon which the Dealer Member's inventory and customer securities are deposited with the custodian. It includes provisions to prevent the custodian from using or disposing of the securities without the prior written consent of the Dealer Member and to allow for the prompt delivery of the securities to the Dealer Member on demand. A Dealer Member is required to execute this agreement with the custodian in order for the custodian to qualify as an "acceptable securities location" as defined in Form 1. Capital requirements are imposed on a Dealer Member for keeping securities at a non-acceptable securities location and those capital requirements are set out in the notes and instructions to Statement B of Form 1.

Custodial agreement (general) - Attachment (pdf)

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on and