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MFDA (Mutual Fund Dealers' Association of Canada): Application requirements for mutual fund salesperson licensing are met by completing the Canadian Securities Course (CSC) or Investment Funds in Canada Course (IFIC). Branch Compliance Officer licensing requirements are met by completing the Branch Compliance Officer's Course.
SAIFM also offers the "Registered Persons" examinations, [4] required for licensing as financial market "practitioners" on the various exchanges, selecting up to 8 according to the requirements of the exchange for the specific function; the typical roles here are investment advisor and fund manager, as well as those executing transactions ...
CIRO was formed on January 1, 2023, through the merger of the Investment Industry Regulatory Organization of Canada (IIROC) and Mutual Fund Dealers Association (MFDA) as the New Self-Regulatory Organization of Canada (New SRO). [5] On April 24, 2023, the name of the Canadian Investment Regulatory Organization (CIRO) was approved by its members. [6]
It was later merged with the Mutual Fund Dealers Association of Canada (MFDA) to form the Canadian Investment Regulatory Organization (CIRO). [3] [4] The organization set regulatory and investment industry standards.
The Canadian Securities Transition Office was implemented in July 2009 by the Government of Canada through the "Canadian Securities Regulation Regime Transition Office Act". [21] Doug Hyndman was made the Chair and Chief Executive Officer of the Transition Office, and Bryan Davies the Vice-Chair.
Brian Richards, who heads up part of the Motley Fool's international operations, and I were in Toronto last week. We stopped by Morningstar Canada to talk shop and meet the group's editorial team.