Reference number:
Date commenced
Date concluded
Status
Concluded
Outcome
Fine $175,000; Costs $10,000; Permanent Bar
Relevant documents:
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.