Highlights of IIROC’s 2021 – 22 Compliance Priorities Report

Date

Continuing Education Credit

Compliance continuing education credit: 0.5

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This webcast highlights IIROC’s Compliance Priorities Report, aimed to help firms address issues they should focus on to protect investors and support healthy Canadian Capital markets. Topics discussed include policy initiatives, strategies to continue to support transformation and innovation in the industry, and ongoing efforts and response to the impacts of the pandemic. Priorities stem from regulatory changes, risks and trends identified in firms’ business conduct, financial operations requirements, trading practices, as well as registration and membership filings and disclosures.

Program Details

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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.