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Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers
Status:
Closed
Data opened:
Date closed:
Proposed Amendments to the IIROC Rules and Form 1 relating to the futures segregation and portability customer protection regime
Status:
Closed
Data opened:
Date closed:
Client Focused Reforms – Proposed Guidance on Know-your-client and Suitability Determination
Status:
Closed
Data opened:
Date closed:
Request for Comments: IIROC Expert Investor Issues Panel
Status:
Closed
Data opened:
Date closed:
Proposed Amendments to Form 1 and corollary amendments to the IIROC Rules
Status:
Closed
Data opened:
Date closed:
Proposed margin requirements for structured products
Status:
Closed
Data opened:
Date closed:
Client Focused Reforms – Proposed Rule Amendments for Public Comment
Status:
Closed
Data opened:
Date closed:
Proposed Amendments Respecting the Trading of Derivatives on a Marketplace
Status:
Closed
Data opened:
Date closed:
Proposed Amendments – IIROC Exemptions for Bulk Account Movements
Status:
Closed
Data opened:
Date closed:
Consultation Paper — Competency Profiles for Registered Representatives and Investment Representatives, Retail and Institutional
Status:
Closed
Data opened:
Date closed:

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

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