New Webcast: Consolidation of IIROC and the MFDA

Type: Education Notice
Distribute internally to:
Corporate Finance
Internal Audit
Legal and Compliance
Regulatory Accounting
Senior Management
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Dianne Weatherby
Manager, Corporate Events and Member Education Services

On September 29, 2022, members of the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) passed a special resolution approving the amalgamation of the two self-regulatory organizations (SROs).

The MFDA and IIROC are working towards a December 31, 2022, closing of the amalgamation.

This webcast highlights how, under the leadership of the Canadian Securities Administrators, the two SROs have been planning the integration and are working together to achieve a collective goal of making the New SRO more efficient, effective and one that ultimately leads to better outcomes for Canadians and for the investment industry.

The presentation took place at the November 3, 2022 Panel Auditors Conference, and the speakers are:

  • Richard Corner, Vice-President and Chief Policy Advisor, Member Regulation
  • Suzanne Lasrado, Director, Member Regulation & Strategy

This webcast will be available on December 1, 2022.

There will be 0.25 Compliance continuing education credits available.

Register for the webcast.

View IIROC’s full list of CE accredited webcasts.

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