Custodial Agreements

23-0001
Type: Rules Notice> Technical
Rule connection:
IIROC Rules
Distribute internally to:
Operations
Regulatory Accounting

Contact:

Dennis Dirksen
Manager, Financial & Operations Compliance
Telephone:
Email:

Attached is a listing of Custodial Agreements in effect as of December 31, 2022 between the New Self-Regulatory Organization of Canada (New SRO), as bare trustee on behalf of Dealer Members and various entities which are acceptable securities locations and whose products may include GIC’s and various investment funds.

In the administration of these custody agreements, the New SRO carries out due diligence to ensure that the custodial agreement is in the prescribed form and is executed by those in authority. Copies of the agreements on file are available upon request. It remains the responsibility of Dealer Members to monitor the custodian for ongoing compliance as an acceptable securities location and to carry out product due diligence and suitability assessment of investments sold to clients.

Please contact New SRO Financial & Operations Compliance Department directly for future changes, deletions or additions to the monthly-published custodial agreement listing.

Custodial Agreements (12-31-22)

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.