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Overview of IIROC’s Plain Language Rules Series

Date

Continuing Education Credit

Compliance continuing education credit: 2.5

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Several years ago, IIROC started a project to rewrite, reformat, rationalize, and reorganize its Dealer Member Rules in plain language. The intent of the plain language rule project was to:

  • improve the understanding of our Dealer Member Rules by clearly stating the objective of each rule or set of rules and rewriting them in plain language,
  • focus our rules on core requirements by moving non-essential rule details to guidance and eliminating obsolete, duplicative, and unnecessary requirements,
  • improve the ability to find a particular rule by reorganizing, reordering, and renumbering our rules and by using summary index tables with links to specific provisions.

IIROC’s Member Regulation Policy team will host six webcasts and provide an overview of each of the IIROC Rules Series.

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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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