Welcome to New Self-Regulatory Organization of Canada
New SRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces.
New SRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments.
New SRO Rules
The Investment Dealer and Partially Consolidated Rules, the Mutual Fund Dealer Rules, and the Universal Market Integrity Rules (UMIR) comprise New SRO’s regulatory framework.
Office of the Investor
New SRO has a dedicated investor office.
