Table-top Exercises

In 2015, we conducted a table-top exercise with a cross-section of our marketplace firms to test information-sharing between regulators in the event of a systemic attack. The exercise resulted in guides about cybersecurity best practices and cybersecurity incident responses, also released in 2015.

In 2018, we conducted a table-top exercise for small and medium-sized Dealers. Small/medium-sized Firms don’t typically have the resources of larger firms to manage risks. IIROC wanted to provide a forum for them to speak with each other and with cybersecurity experts, and collaborate and discuss common industry cybersecurity threats and low-cost best practices to manage risks. The exercise was designed as a series of four separate case studies and participants discussed crisis responses in small facilitated groups. At the end of the exercise, recommended solutions were provided.

The table-top exercise for small and medium-sized Dealer Members that was initially planned for 2020 will now be postponed to 2022 due to the COVID-19 pandemic. (June 6, 2021)

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