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Investment Dealer and Partially Consolidated Rules
Mutual Fund Dealer Rules
Universal Market Integrity Rules
Frequently Asked Questions (FAQs)
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New SRO Investor Advisory Panel – Frequently Asked Questions (FAQs)
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Investor Advisory Panel Agenda
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Investor Advisory Panel Agenda
Investor Advisory Panel Agenda — February 10, 2023
Investor Advisory Panel Agenda — March 24, 2023
In this section...
In this section:
Investor Advisory Panel Agenda
Office of the Investor
Investor Advisory Panel
Investor Advisory Panel Agenda
Learning the Basics and Protecting Your Investments
About New SRO
Executive Leadership Team
Andrew J. Kriegler
Jennifer Armstrong
Claudyne Bienvenu
Ian Campbell
Nigel Carpenter
Richard Korble
Karen McGuinness
Laura McNeil
Victoria Pinnington
Elsa Renzella
Alexandra Williams
Board of Directors
Tim Hodgson (Chair)
Patricia Callon
Kathryn Chisholm
Debra Doucette
Luc Fortin
Robert Frances
Miranda Hubbs
Michelle Khalili
Louis Marcotte
Philip Mayers
Timothy Mills
Jennifer Newman
Laura Tamblyn Watts
Janet Woodruff
Careers
Governance & Bylaws
National Council and Regional Councils
Board Committees
Advisory Committees
National Advisory Committee
Conduct, Compliance and Legal Advisory Section (CCLS)
Proficiency Committee
Financial and Operations Advisory Section (FOAS)
Fixed Income Advisory Committee
Market Rules Advisory Committee (MRAC)
Policy Advisory Committee
Office of the Investor
Investor Advisory Panel
Investor Advisory Panel Agenda
Investor Advisory Panel Agenda - February 10, 2023
Investor Advisory Panel Agenda - March 24, 2023
Learning the Basics and Protecting Your Investments
Investment Basics
Tips to Spot and Prevent Fraud
FAQs for Ex-Pat Canadian Investors
Seniors’ Month Investment Tips
Typical Financial Scams
External Investment Resources: Other Useful Links
Interim Rules
Policy Initiatives
Investment Dealer and Partially Consolidated Rules
Mutual Fund Dealer Rules
Universal Market Integrity Rules
Frequently Asked Questions (FAQs)
New SRO Investor Advisory Panel – Frequently Asked Questions (FAQs)
New SRO Interim Rules – Frequently Asked Questions
Mutual Fund Dealers - Québec
Members
Public
Becoming a Dealer Member
Becoming a Dual-Registered Firm
