On May 12, 2022, the CSA published for comment CSA Staff Notice and Request for Comment 25-304, Application for Recognition of New Self-Regulatory Organization.
Comment period ended June 27, 2022.
CSA Staff Notice and Request for Comment 25-304, Application for Recognition of New Self-Regulatory Organization
- Appendix A – Application for recognition of the New SRO
- Schedule 1 – Draft By-Law Number 1 of the New SRO
- Schedule 2 – Draft Interim Rules of the New SRO, which includes1:
- Schedule 3 – Draft Terms of Reference for New SRO’s Investor Advisory Panel 2
- Schedule 4 – Québec Requirements (unofficial translation)
- Appendix B – Draft Recognition Order for the New SRO (BC, AB, SK, MB, ON, QC, NB, NS)
- Appendix C – Draft MOU among the Recognizing Regulators regarding oversight of the New SRO
1 Please refer to FAQs on Interim Rules at IIROC website (https://www.iiroc.ca/new-sro-interim-rules-frequently-asked-questions) or MFDA website (https://mfda.ca/new-sro-rules-faq/).
2 Please refer to FAQs on New SRO IAP at IIROC website (https://www.iiroc.ca/new-sro-investor-advisory-panel-questions-answers) or MFDA website (https://mfda.ca/new-iap-faq/).