Mutual Fund Dealers Association

In 2023, the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) were combined to form a new entity: the Canadian Investment Regulatory Organization (CIRO).  

Regulator seeks new partner for long-term advisory relationship

Canada's investment industry regulator has a spot on its advisory panel

CIRO gets approval under Ontario title protection

Financial Services Regulatory Authority of Ontario (FSRA) unveils SRO as fifth credentialing body

Former BC dealing representative banned for failing to cooperate with regulator

Sungsoo (Steve) Lee will also have to pay a total $40,000 in fine and costs

CIRO consideration under Ontario title regime raises questions, concerns

Accepting self-regulatory organization as credentialing body for financial advisors could put public at risk, say stakeholders

Advisor sanctioned for offering to compensate client

Client request to cash out amid COVID-19 market panic delayed due to KYC deficiencies

How to get a mutual funds licence in Canada

Getting a mutual funds licence is an important first step before trading in mutual funds in Canada. It also provides other benefits - read this article to know more

'We've always tried to do the right thing'

President of Canada's newest independent firm explains efforts to purge structural conflicts and sharpen client focus

FSRA revokes insurance agent's licence over misconduct

He was found to have engaged in unfair or deceptive practices

Lifetime ban, $145k fine for dealing rep who stole from client

Mutual fund rep misled firm when confronted about large transaction into his own account, says CIRO