SRO Rules and Responses

IFIC strongly supports industry self-regulation. IFIC welcomed the creation of the New Self-Regulatory Organization of Canada (New SRO), which was formed in January 2023 through the amalgamation of the Mutual Fund Dealers Association and the Investment Industry Regulatory Organization of Canada. IFIC will provide industry input to ongoing consultations related to the implementation of the New SRO as well as any rule changes it introduces in response to evolving marketplace and investor needs.

Documents

2025

IFIC Submission - CIRO - Proposal to Modernize the CIRO Arbitration Program (February 7, 2025)

IFIC Submission - CIRO - CIRO Rule Consolidation Project - Phase 4 (February 4, 2025)

IFIC Submission - CSA - CSA Notice and Request for Comments – Proposed Amendments and Proposed Changes to Modernize the Continuous Disclosure Regime for Investment Funds (January 31, 2025)

2024

IFIC Submission - CIRO - Proposed Proficiency Model – Approved Persons Under the Investment Dealer and Partially Consolidated Rules (September 17, 2024)

IFIC Submission - CIRO - CIRO Consultation Phase 3 (July 17, 2024)

IFIC Submission - CIRO Consultation Re: Proposed Integrated Fee Model (June 24, 2024)

IFIC Submission to CIRO Re: CIRO Consultation - Policy Options for Leveling the Advisor Compensation Playing Field (March 25, 2024)

IFIC Submission to CIRO - RE: CIRO Rule Consolidation Project – Phase 2 (March 11, 2024)

2023

IFIC Submission to CIRO - Re: CIRO Rule Consolidation Project – Phase 1 (December 19, 2023)

2022

IFIC Submission - CSA - Notice and Request for Comment 25-304 Application for Recognition of New Self-Regulatory Organization (June 27, 2022)

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