Improving Self-Regulation for Canadians

CSA staff notices related to new SRO and new IPF | New SRO interim rules frequently asked questions | New SRO investor advisory panel questions & answers

On November 18 2021, the CSA announced the timelines to create a single, new, enhanced self-regulatory organization.

The announcement is an exciting day in our journey and a crucial step toward one SRO.  

A new, enhanced, pan-Canadian SRO which consolidates the efforts of IIROC and the MFDA will increase access to advice while better-protecting investors and is precisely what Canadians and the industry that serves them deserve.   

IIROC applauds the CSA for leading a timely and effective process. 

A new, single SRO builds on a strong foundation, and will: 

  • Deliver value for investors, regardless of where they live, how many assets they have or their level of investing sophistication.
  • Foster an innovative and competitive industry to ensure there are investment opportunities and value propositions for existing and evolving Canadian investor needs.
  • Make it easier for dealers and their advisors to serve Canadians, regardless of region, firm size, or business model.
  • Reduce duplicative regulatory burden and complexity, particularly for those running separate IIROC and MFDA platforms, as well as those in Québec.
  • Reduce barriers for current single platform dealers looking to expand their business models. 

See IIROC’s publications and supporting research below.  

Read IIROC views and supporting research: