IIROC Memoranda of Understanding

Memorandum of Understanding Regarding Oversight of the Investment Industry Regulatory Organization of Canada is no longer in effect and has been replaced by the Memorandum of Understanding among the Recognizing Regulators regarding oversight of the New SRO.

2021

April 1, 2021

Notice of Coming into Effect of Memorandum of Understanding Among the Canadian Securities Administrators Regarding Investment Industry Regulatory Organization of Canada (IIROC)

January 28, 2021

Notice of Commission Approval of Amended Memorandum of Understanding Regarding Oversight of the Investment Industry Regulatory Organization of Canada (IIROC) (effective April 1, 2021)

2011

May 13, 2011

Notice of Ministerial Approval of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD)

January 21, 2011

Notice of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD)

2008

August 1, 2008

Notice of Minister of Finance Approval – MOU Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC)

May 30, 2008

Memorandum of Understanding Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC) among Recognizing Regulators