The Canadian Securities Administrators (CSA) has published CSA Staff Notice 25-310 2022 Annual Activities Report on the Oversight of Self-Regulatory Organizations (SROs) and Investor Protection Funds (IPFs) (The Annual Report).
The Annual Report summarizes key information, activities, and observations related to CSA oversight of the former SROs and IPFs during the 2022 calendar year.
In January, 2023, the two former SROs – the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada – officially amalgamated to form the New Self- Regulatory Organization of Canada. And the former IPFs – the Canadian Investor Protection Fund and the MFDA Investor Protection Corporation – merged to form the new Canadian Investor Protection Fund.
CSA Staff Notice 25-310 2022 Annual Activities Report on the Oversight of Self-Regulatory Organizations (SROs) and Investor Protection Funds (IPFs) is available for download from the websites of CSA Members.
For more information, please call Barbara Hendrickson at BAX Securities Law (647) 403-4606.
This publication is not intended to constitute legal advice. No one should act on it or refrain from acting on it without consulting with a lawyer. BAX does not warrant or guarantee the accuracy or currency or completeness of the publication. No part of this publication may be reproduced without the prior written permission of BAX Securities Law.