Self-assessment Surveys

IIROC conducted cybersecurity self-assessment surveys of all Dealers in 2016 and 2018. The surveys were based on the National Institute of Standards and Technology (NIST) cybersecurity framework.

After the results were analyzed and risk-scored, IIROC issued a confidential Cybersecurity Report (CSR) to each Dealer:

  • identifying their level of cybersecurity maturity/preparedness and vulnerabilities, and
  • setting out high-level recommendations for priority attention.

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 and