Search

Notices and Guidance

IIROC carries out its regulatory responsibilities under Recognition Orders from the provincial and territorial securities regulatory authorities that make up the Canadian Securities Administrators (CSA). IIROC is subject to oversight and regular operational reviews by CSA members.

Filter notice by:

Results:

| 23-0037
New SRO Proficiency Committee – Call for Applications
Rulebook:
Notice type: Request for Applications
| GN-5400-23-001
Margin treatment of unhedged foreign exchange positions held in client accounts
Rulebook: IIROC Rules
Notice type: Guidance Note
| 23-0040
IN THE MATTER OF Donald Warren Metcalfe – Adjournment
Rulebook:
Notice type: Hearing
| 23-0038
Updated Guidance – Margin treatment of unhedged foreign exchange positions held in client accounts
Rulebook: IIROC Rules
Notice type: Approval/Implementation
| 23-0041
Agentis Capital Markets Limited Partnership
Rulebook:
Notice type: New Member
| 23-0042
Clear Street Canada Inc.
Rulebook:
Notice type: New Member
| 23-0043
ICP Securities Inc.
Rulebook:
Notice type: New Member
| 23-0039
New Webcast: Common Examination Findings
Rulebook:
Notice type: Education Notice
|
More Financial Advisors in Ontario to Have Their Credentials Officially Approved
Rulebook:
Notice type: General
|
Investor Alert: RCE Banque
Rulebook:
Notice type: General

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.

Visit the New Self-Regulatory Organization of Canada website

In this section