Skip to Main Content

New Self-Regulatory Organization Framework

 

Canadian securities regulators publish approval notices for new SRO and CIPFCanadian securities regulators publish approval notices for new SRO and CIPFIntegration Cost Recovery Fee Model GuidelineMFDA Interim Fee Model

Date Document Type Description
November 24, 2022 CSA News release Canadian securities regulators publish approval notices for new SRO and CIPF
Bulletin #0922-P Canadian securities regulators publish approval notices for new SRO and CIPF
Bulletin #0921-M Integration Cost Recovery Fee Model Guideline
Bulletin #0920-M MFDA Interim Fee Model
June 27, 2022 News release Andrew J. Kriegler to lead Canada’s new SRO
May 12, 2022 News Release Canadian securities regulators announce boards of new SRO and IPF and seek comment on draft documents
Bulletin #0904-P CSA Announcement of boards for new SRO and IPF and publication of draft documents for comment
Frequently Asked Questions New SRO Investor Advisory Panel FAQ
Frequently Asked Questions New Draft SRO Interim Rules FAQ
April 5, 2022 Member Communication CSA, IIROC and MFDA update on implementation of new SRO
Jan. 21, 2022 News Release Canadian securities regulators announce search for candidates for Board of Directors and CEO of new SRO
New SRO Board and CEO Position Specifications The Canadian Securities Administrators has established a Special Joint Committee to lead the recruitment process for the Board of Directors and CEO of the new self-regulatory organization. Interested candidates can find the role descriptions here.
Nov. 18, 2021 News Release issued by the Canadian Securities Administrators Canadian securities regulators, SROs and investor protection funds establish timeline for new self-regulatory framework
Aug. 3, 2021 News Release MFDA and IIROC Support Decision of the Canadian Securities Administrators to Create a New Single Enhanced SRO
Bulletin #0872-P Publication of CSA Position Paper 25-404 – New Self-Regulatory Organization Framework
March 16, 2021 News Release MFDA releases implementation roadmap for new self-regulatory organization (SRO)
Bulletin #0856-P MFDA Releases Roadmap for the Design and Implementation of a New Modern SRO
Report Design and Implementation of a New Modern SRO
Feb. 2, 2021 News release MFDA begins development of design and implementation roadmap for new self-regulatory organization
Oct. 23, 2020 Consultation Paper Response to the Canadian Securities Administrators Consultation on the Self‐Regulatory Organization Framework
Sept. 8, 2020 News Release National Poll: What Canadian Investors want in a Modern SRO
Report What Canadian investors want in a modern SRO
Data Tables Data from National Poll
Sept. 8, 2020 Bulletin #0834-P MFDA submission to the Ontario Capital Markets Modernization Taskforce
Consultation Modernizing Ontario’s Capital Markets
July 15, 2020 Bulletin #0827-P SRO Framework Review – Designing an SRO for the Future
June 9, 2020 News Release Statement from MFDA President & CEO Mark Gordon Regarding IIROC Position Paper
Feb. 3, 2020 News Release MFDA Releases Special Report on Securities Industry Self-Regulation
Special Report MFDA Special Report on Securities Industry Self-Regulation, A Proposal for a Modern SRO
Guiding Framework, A Path Towards a Modern SRO