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Consultation Paper (Phase III) — Competency Profiles for Supervisors, Traders, Associate Portfolio Managers and Portfolio Managers

Date opened: August 29, 2022

Date closed: December 28, 2022

Status: Closed

Summary/details:

Introduction

The Investment Industry Regulatory Organization of Canada (IIROC) is in the process of developing and publishing competency profiles for all IIROC approval categories.1 Last year, we published competency profiles for our Director, Executive, Ultimate Designated Person (UDP), Chief Compliance Officer (CCO) and Chief Financial Officer (CFO) categories.2 In 2020, we published for comment the first phase of this project, which involved the development of competency profiles for our Registered Representative (RR) and Investment Representative (IR) categories.3

The third phase of this project is the publication of competency profiles for Supervisors, Traders, Associate Portfolio Managers (APMs), Portfolio Managers (PMs).4

We are publishing this Consultation Paper to solicit feedback on our proposed competency profiles for Supervisors, Traders, APMs, and PMs.

Relevant documents:
Notices about this consultation:

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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