CSA Staff Notice and Request for Comment 25-304, Application for Recognition of New Self-Regulatory Organization

On May 12, 2022, the CSA published for comment CSA Staff Notice and Request for Comment 25-304, Application for Recognition of New Self-Regulatory Organization.

Comment period ended June 27, 2022.

CSA Staff Notice and Request for Comment 25-304, Application for Recognition of New Self-Regulatory Organization

• Appendix A – Application for recognition of the New SRO
  • Schedule 1 – Draft By-Law Number 1 of the New SRO
  • Schedule 2 – Draft Interim Rules of the New SRO, which includes¹:
    • i. Introduction
    • ii. Investment Dealer and Partially Consolidated Rules
    • iii. Mutual Fund Dealer Rules
    • iv. Mutual Fund Dealer Form 1
    • v. Universal Market Integrity Rules
      
  • Schedule 3 – Draft Terms of Reference for New SRO’s Investor Advisory Panel ²
  • Schedule 4 – Québec Requirements (unofficial translation)
    
• Appendix B – Draft Recognition Order for the New SRO (BC, AB, SK, MB, ON, QC, NB, NS)
• Appendix C – Draft MOU among the Recognizing Regulators regarding oversight of the New SRO

_{¹ Please refer to FAQs on Interim Rules at IIROC website (https://www.iiroc.ca/new-sro-interim-rules-frequently-asked-questions) or MFDA website (https://mfda.ca/new-sro-rules-faq/).
² Please refer to FAQs on New SRO IAP at IIROC website (https://www.iiroc.ca/new-sro-investor-advisory-panel-questions-answers) or MFDA website (https://mfda.ca/new-iap-faq/).}