Canadian securities regulators seek comment on self-regulatory organization framework

Vancouver and Toronto – The Canadian Securities Administrators (CSA) today announced that it is seeking input from investors, industry and the public on the framework for self-regulatory organizations (SROs) in Canada....

Canadian securities regulators to establish new single enhanced self-regulatory organization

Vancouver and Toronto– The Canadian Securities Administrators (CSA) today announced its plan to create a new, single self-regulatory organization (SRO) that will provide enhanced regulation of the investment industry.  The...

Canadian securities regulators, SROs and investor protection funds establish timeline for new self-regulatory framework

Vancouver and Toronto – Work is progressing on the creation of a new self-regulatory organization (SRO) for the investment industry and a new investor protection fund (IPF). The new SRO,...

Canadian securities regulators announce search for candidates for Board of Directors and CEO of new SRO

Vancouver and Toronto – The Canadian Securities Administrators (CSA) today announced the start of the search for candidates for the chief executive officer (CEO) and members of the Board of...

CSA, IIROC and MFDA update on implementation of new SRO

The following message was sent to SRO members on April 5, 2022. Good morning, We are contacting you today with a status update on work that is underway to implement...

Canadian securities regulators announce boards of new SRO and IPF and seek comment on draft documents

Vancouver and Toronto – The Canadian Securities Administrators (CSA) today announced the proposed board members of the new self-regulatory organization (SRO) and investor protection fund (IPF), and the publication for...

Andrew J. Kriegler to lead Canada’s new SRO

Vancouver and Toronto – The Canadian Securities Administrators (CSA) announced today that the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) have...

Notice of BCSC approval of use of MFDA Discretionary Fund

As of July 28, 2022, the British Columbia Securities Commission and the Mutual Fund Dealers Association of Canada (MFDA)’s other recognizing regulators approved the MFDA’s application seeking approval to use...

MFDA and IIROC Members approve the creation of a single new SRO

Toronto – Members of the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) have passed a special resolution approving the amalgamation of...

Notice of OSC approval of use of IIROC Restricted Fund

As of October 27, 2022, the Ontario Securities Commission and the Investment Industry Regulatory Organization of Canada (IIROC)’s other recognizing regulators approved IIROC’s application seeking approval to use unallocated money...