This list is published from time to time and identifies the regulators and self-regulatory organizations whose members meet the definition of a “regulated entity” in the general notes and definitions to Form 1. A regulated entity is a counterparty with whom a Dealer Member may deal with on a value for value basis, with mark to market imposed on the outstanding transactions.
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.