List of acceptable clearing corporations and acceptable securities locations (depositories and clearing agencies)

This list is published from time to time and identifies entities that meet the definitions of “acceptable clearing corporation” and “acceptable securities location” (depositories and clearing agencies section) in the general notes and definitions to Form 1. These entities are considered suitable to clear, settle, and hold customer and Dealer Member (inventory) securities or derivatives without capital penalty to the Dealer Member provided that other related IIROC Rules are met. 

List of acceptable clearing corporations and acceptable securities locations (depositories and clearing agencies) - 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 www.mfda.ca and www.iiroc.ca.