IIROC District Councils – Call for Nomination

22-0025
Type: Administrative Notice> Call for Nominations
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Contact:

Croce Cuffaro
Executive Assistant to Ms. France Kingsbury, Regional Director, Regulation
Email:

Applications Due By: March 11, 2022

The Nomination Subcommittee of each IIROC District Council invites Dealer Members to nominate candidates for election to the District Council in each province where the Dealer Member has offices.

  1. District Councils

IIROC District Councils play an important advisory role with respect to regional, policy and business-related issues. Each District Council acts as the local committee in relation to matters of interest to the members of its District and is a sounding board for IIROC.

District Councils provide a great opportunity for members to participate in the self-regulatory process. These forum allow for discussions on various topics related to the securities industry. District Councils’ meetings also create a good opportunity to connect amongst Dealer Members in the District as well as with IIROC Staff.

Each District Council is comprised of four to twenty members, including a Chair and a Vice-Chair. Position terms are held for two years and they are renewable. Chair and Vice-Chair positions are held for generally two-year terms1 . District Councils meet between six to twelve-times a year.

  1. Nomination and Appointment Process

A Dealer Member with offices in the District may nominate a candidate for election to the District Council. To qualify as a nominee, a person must be an officer or employee of a Dealer Member in the District. Nominees must be interested in getting involved and contributing to discussions on the investment industry’s regulatory aspects.

All nominees are reviewed by the Nomination Subcommittee of the District and approved by the District Council prior to submission for consideration at the Annual General Meeting of the Dealer Members of the District.

  1. Submissions

Please consult the list here of current District Council members in Canada and the IIROC District Council Procedures before proposing a candidate for a specific District Council.

Each nomination must include the individual’s resume and the Nomination form (see Appendix A) approved by the senior management of the Dealer Member.

Please submit the completed Nomination form by no later than March 11, 2022 to Ms. Croce Cuffaro who acts as the national coordinator for this call for nominations.

Mail: Croce Cuffaro

Executive Assistant to Ms. France Kingsbury, Regional Director, Regulation
Investment Industry Regulatory Organization of Canada
525 Avenue Viger West, Suite 601
Montreal, Quebec, H2Z 0B2

Email: [email protected]

If you have any questions about representation in your region, please reach out to the following contact persons:

Ron Johnston (British Columbia, Alberta, Manitoba, Saskatchewan) 
Director, Member Compliance, western Canada
[email protected]

France Kingsbury (New Brunswick, Nova Scotia, Newfoundland and Labrador, Prince Edward Island, Quebec)
Québec Regional Director, Regulation
[email protected]

Elsa Renzella (Ontario)
SVP, Enforcement, Registration and Enterprise Risk
[email protected]

  • 1In Ontario, the Chair and the Vice-Chair usually serve for a one-year term.

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.