Member Information Session about New SRO Public Comment Materials


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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