Search

Dual-Registration Questionnaire for Existing Members

Date

Continuing Education Credit

This webcast does not qualify for CE credit

Register for the webcast

More Details

Members are now eligible to become dual-registered, which means they may conduct investment dealer business and mutual fund dealer business within a single legal entity.

In this webcast, New Self-Regulatory Organization of Canada (New SRO) Marinela Mariscal, Vice-President, Membership Intake, and Brett Konyu, Director, Member Education and Membership Services, walk through the process for existing Members to apply to become dual-registered. The session focuses on the application process and a review of the Dual-Registration Questionnaire for Existing Members.

Program Details

Back to Continuing Education

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.

Visit the New Self-Regulatory Organization of Canada website

In this section