New SRO launches Investor Advisory Panel

Investor protection is an important mandate of the New Self-Regulatory Organization of Canada (New SRO). In that spirit, one of the organization’s first accomplishments is the establishment of an independent Investor Advisory Panel (IAP) to represent investor interests in the development of priorities, policy, and other initiatives.

On January 17, 2023, New SRO announced the nine highly qualified members of the IAP. The panel will be chaired by Dorothy Sanford, past president of the MFDA Investor Protection Corporation, and vice-chaired by Moshe Milevsky, a tenured professor at the Schulich School of Business at York University.

The purpose of the IAP is to provide deeper understanding of investor issues and concerns to New SRO staff through regular dialogue and consultations.

We look forward to working with the Investor Advisory Panel to ensure that the interest of investors are always at the forefront of our decision-making.” said Karen McGuinness, Senior Vice-President and executive responsible for the New SRO’s Office of the Investor.

Activities of the IAP will be available on the New SRO website including annual reports, meeting agendas, public comment letters and IAP-sponsored research.

Further information, including biographies of panel members, is available on the New SRO website.

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