Regional Council Annual General Meetings

Type: Administrative Notice> General
Distribute internally to:
Education and Training
Legal and Compliance
Senior Management
Trading Desk


Croce Cuffaro
National Coordinator
Ron Johnston
Director, Member Compliance, Western Canada
France Kingsbury
Regional Director, Regulation- Québec
Michelle Pong (Ontario)
Senior Legal Counsel, Director, District Hearing Committees, Mutual Fund Division

We are pleased to inform you that the dates of the New SRO Regional Councils Annual General Meetings (AGMs) have been secured and that formal invitations will be forwarded shortly to all eligible Dealer Members to attend.

Composition and vote

Each Regional Council is composed of four to 20 members. The proposed members forming the Councils are selected by the Regional Councils nomination subcommittees and will be presented at the AGMs for election by the Dealer Members. Dealer Members are entitled to send a representative to represent them and vote at the AGMs in accordance with section 10.4 of New SRO By-law No. 1.

Role of Regional Councils

The Regional Councils play an important advisory role with respect to regional issues and provide a regional perspective on national issues, including client facing activities. They advise New SRO on industry trends of regulatory concern, provide input on the impact of New SRO’s regulatory initiatives, and communicate high-level information regarding meeting discussions to their constituents.

All AGMs start times listed below are local time. Save the date!

Atlantic Regional Council AGM - in Halifax
May 11, 2023
4:30 p.m. to 5:00 p.m.

Québec Regional Council AGM
May 9, 2023
4:30 p.m. to 5:00 p.m.

Ontario Regional Council AGM
May 25, 2023
4:00 p.m. to 5:00 p.m.

Saskatchewan Regional Council AGM
May 30, 2023
3:00 p.m. to 4:00 p.m.

Pacific Regional Council AGM
May 29, 2023
2:00 p.m. to 3:00 p.m.

Alberta Regional Council AGM
June 27, 2023
3:30 p.m. to 4:30 p.m.

Manitoba Regional Council AGM
May 31, 2023
4:00 p.m. to 5:00 p.m.

If you need more information related to the AGMs, please contact Ms. Croce Cuffaro who acts as a national coordinator at: [email protected] or 514-392-3420.

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