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Canadian securities regulators seek comment on self-regulatory organization framework

  • Securities - CSA Image

Jun 25, 2020

On June 25, 2020, the Cana­dian Se­cu­ri­ties Ad­min­is­tra­tors (CSA) announced that it is seeking input from investors, industry and the public on the framework for self-regulatory organizations (SROs) in Canada.

In its consultation paper, the CSA is requesting feedback on whether the current SRO framework best serves Canadian investors and the investment industry, in light of the evolution of the financial services industry. The CSA is also asking for comments on the issues and targeted outcomes outlined in the paper, with written submissions due by October 23, 2020.

The current SRO regulatory framework requires investment dealers to be members of the Investment Industry Regulatory Organization of Canada (IIROC) and mutual fund dealers, except in Québec, to be members of the Mutual Fund Dealers Association of Canada (MFDA).

Re­view the press re­lease on the CSA's web­site.

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