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Member Information Session about New SRO Public Comment Materials

Date

Continuing Education Credit

Compliance CE credit : 1.0

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On June 10, 2022, IIROC hosted an information session about the key aspects of the public comment materials released by the Canadian Securities Administrators (CSA). The deadline to submit comments to the CSA on the materials is June 27, 2022.

This webcast covered:

  • 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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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

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