Removal of the risk component of the annual fees paid by Dealer Members effective April 12021

21-0080
Type: Administrative Notice> Notice of Approval
Distribute internally to:
Senior Management
Finance

Contact:

Shuaib Shariff
Senior Vice President, Finance and Administration
Email:

On December 17, 2020, IIROC published Notice 20-0267 – Removal of the risk component of the annual fees paid by Dealer Members, requesting comments on a proposal to remove the risk component of the annual fees paid by Dealer Members. No comments were received.

This amendment which has been approved by the recognizing regulators took effect April 1, 2021.

Further Information

IIROC is publishing updated Fee Model Guidelines reflecting the amendments.

Those wishing additional information concerning the Dealer Member Fee Model should contact:

Shuaib Shariff
Senior Vice President, Finance and Administration
121 King Street West, Suite 2000
Toronto, ON, M5H 3T9
[email protected]   

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.