Member Information Session about New SRO Public Comment Materials


Continuing Education Credit

Compliance CE credit : 1.0

Register for the June 10 event

More Details

On Friday, June 10, from 1:00-2:30 pm (EST), IIROC subject matter experts will provide information on the key aspects of the public comment materials released by the CSA on May 12, 2022.

The information session will cover:

  • New SRO Interim Rules (Investment Dealer rules, Mutual Fund Dealer Interim Rules, UMIR) 
  • Recognition Order by the CSA 
  • Application for Recognition by the SRO 
  • Memorandum of Understanding 
  • New SRO by-law 
  • New SRO Investor Advisory Panel Terms of Reference

Program Details

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