Guidance on IIROC’s Continuing Education Program

Type: Rules Notice> Approval/Implementation
Rule connection:
Distribute internally to:
Legal and Compliance
Senior Management
Trading Desk



IIROC is publishing guidance (GN 2700-21-001 – Guidance on IIROC’s Continuing Education Program) relating to IIROC’s continuing education program which is a requirement for certain Approved Persons as set out in IIROC Rule 2700 (CE Rules). This guidance:

  • outlines our expectations and requirements applicable to all Dealer Members and continuing education participants,
  • provides IIROC’s views on how the CE Rules should be applied and interpreted, and
  • replaces previous Guidance Note Notice 19-0222 – Guidance on IIROC’s Continuing Education Program.

On October 14, 2021, IIROC Published a notice of implementation IIROC Rules, Form 1 and Guidance relating to IIROC Rules effective December 31, 2021. This notice is one of the guidance notes referred to in section 4.3 of this October notice.

GN-2700-21-001 will be effective upon implementation of the IIROC Rules, December 31, 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