Contact:
On December 21, 2017, IIROC published Notice 17-0243 – Proposed Amendments to the Minimum Dealer Regulation Fee Component of the Dealer Member Fee Model, requesting comments on a proposal to simplify the Minimum Fee Component of the annual fee.
In response to the request for comments, we received one comment letter from the Investment Industry Association of Canada (IIAC), which is posted on the IIROC website.
The amendments, which have been approved by the recognizing regulators as proposed took effect April 1, 2018. They:
Industry Consultation
Prior to publishing IIROC Notice 17-0243, IIROC presented its proposal to the Financial and Operations Advisory Section (FOAS) Executive Committee and to the IIAC Small and Independent Dealers Committee to ensure that Dealer Member input was properly considered.
Further Information
IIROC will be publishing updated Fee Model Guidelines reflecting the amendments.
Those wishing additional information concerning the Dealer Member Fee Model should contact:
Shuaib Shariff
Senior Vice President, Finance and Administration
121 King Street West, Suite 2000
Toronto, ON, M5H 3T9
[email protected]
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:
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.