Compliance and Registration

Registration Categories

Information on registration categories for firms and individuals can be found at the following link:

Guide to Firm Categories of Registration

MFDA/IIROC Firms

A firm registered as an investment dealer or a mutual fund dealer is generally required to be a member of a self-regulatory organization (SRO). A firm registered as an investment dealer must become a member of the Investment Industry Regulatory Organization of Canada (IIROC), while a firm registered as a mutual fund dealer must become a member of the Mutual Fund Dealers Association of Canada (MFDA).

For more information:

• MSC Registration and Guide to Firm Categories of Registration
• National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
• National Instrument 31-103 Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registration Obligations
• Investment Industry Regulatory Association of Canada (IIROC)
• Mutual Fund Dealers Association of Canada (MFDA)