Contact:
Members are now eligible to become dual-registered, which means they may conduct investment dealer business and mutual fund dealer business within a single legal entity.
In this webcast, New Self-Regulatory Organization of Canada (New SRO) Marinela Mariscal, Vice-President, Membership Intake, and Brett Konyu, Director, Member Education and Membership Services, walk through the process for existing Members to apply to become dual-registered. The session focuses on the application process and a review of the Dual-Registration Questionnaire for Existing Members.
Further information about the process to become dual-registered can be found on the New SRO website.
This webcast does not qualify for CE credit.
View the Investment Dealer Division’s (formerly IIROC) full list of CE accredited webcasts.
View the Mutual Fund Dealer Division’s (formerly MFDA) full list of CE accredited webcasts.
Note: Participants in the Mutual Fund Dealer Division CE program can take the IIROC CE accredited webcasts and enter attendance on the MFDA CE Reporting and Tracking System (CERTS). Please refer to the Course Catalogue in CERTS to confirm eligibility.
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.