Frequently Asked Questions (FAQs)

New SRO Investor Advisory Panel – Frequently Asked Questions (FAQs)

The New SRO Investor Advisory Panel (New SRO IAP) will be an independent, advisory panel that will support New SRO staff by highlighting issues of concern to investors, providing advice on regulatory issues and other matters of public interest, and by conducting independent investor research in support of effective regulation.

New SRO Interim Rules – Frequently Asked Questions

This document replaces the FAQs published on May 12, 2022.

The responses to these FAQs:

  • are based on the interim rules for the New SRO (interim rules) as currently drafted and attached and may not apply if there are subsequent changes or amendments to these rules,
  • attempt to address various Member situations, and
  • are meant to clarify that there will be no change in CSA delegation of registration for investment dealer or mutual fund dealer firms, or their registered and permitted individuals, as of January 1, 2023.

Members are encouraged to reach out to SRO staff to understand how the interim rules apply to their unique circumstances.