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The Voice of Canada’s Investment Funds Industry

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

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)

CFIQ - Submission - AMF - New SRO Recognition (June 27, 2022)

2021
IFIC Submission - CSA Position Paper 25-404 - New Self-Regulatory Organization Framework (October 4, 2021)

CFIQ - Submission - AMF - CSA position paper 25-404 on New SRO Framework (October 4, 2021)

Investment Industry SRO Forum (IFIC, IIAC, FMFD) Joint Submission - CSA (March 31, 2021)

2020
IFIC Submission - CSA - CSA Consultation Paper 25-402 - Consultation on the Self-Regulatory Framework (October 23, 2020)

2019
IFIC Submission - MFDA (P. Ward) - MFDA Bulletin #0782-P – Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading) (July 31, 2019)