SRO Rules and Responses
SIMA strongly supports industry self-regulation. SIMA welcomed the creation of the Canadian Investment Regulatory Organization (CIRO), which was formed in January 2023 through the amalgamation of the Mutual Fund Dealers Association and the Investment Industry Regulatory Organization of Canada. SIMA will provide industry input to ongoing consultations related to the implementation of the Canadian Investment Regulatory Organization as well as any rule changes it introduces in response to evolving marketplace and investor needs.
Documents
2023
2022
2021
2020
2019
Submission to MFDA (Mr. Woodard) CE Accreditation (September 20, 2019)
Submission on the MFDA’s consultation on the accreditation process for its continuing education requirements.
2021
2020
2019
Submission to MFDA (Mr. Woodard) CE Accreditation (September 20, 2019)
Submission on the MFDA’s consultation on the accreditation process for its continuing education requirements.
2019
Submission to MFDA (Mr. Woodard) CE Accreditation (September 20, 2019)
Submission on the MFDA’s consultation on the accreditation process for its continuing education requirements.
Submission on the MFDA’s consultation on the accreditation process for its continuing education requirements.
