Custodial agreement (NCI)

This agreement is a draft custody agreement for a non-certificated debt instrument (NCI) between a custodian and a Dealer Member. It contains the minimum terms that are required by IIROC for external segregation location arrangements in which the custodian is holding non-certificated debt instruments [e.g. Guaranteed Investment Certificates (GICs)]. However, there is a note to Dealer Members in it cautioning that additional terms may be necessary or desirable to protect a Dealer Member's interests and that the Dealer Member should consult its own advisors.

Custodial agreement (NCI) - 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