Legal Entity Identifiers

Where a Legal Entity Identifier (LEI) is required under the Amendments, the client must use an LEI that is issued in accordance with standards set by the Global Legal Entity Identifiers System (GLEIF).

GLEIF provides information on how to obtain an LEI, including a list of LEI issuing organizations for Canada, which can be accessed here.

GLEIF also maintains a publicly searchable database of all issued LEIs.

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