Services aux collectivités

Office of the Superintendent of Securities

Self-Regulatory Organizations and Investor Protection Funds

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Yukon Archives, .C. Barley fonds #5541

A Self-Regulatory Organization (SRO) is an organization that represents its members and is organized for the purpose of regulating the operations, standards of practice, and business conduct of its members and their representatives with a view to promoting the protection of investors and the public interest through the establishment of rules that promote ethics and equality:

Mutual Fund Dealers Associations of Canada (www.mfda.ca), and
Investment Industry Regulatory Organization of Canada (www.iiroc.ca),

The Canadian Investor Protection Fund (www.cipf.ca) is a compensation fund with protects, within defined limits, the cash and securities of eligible customers of investment dealer that are members of CIPF's sponsering organizations, in the event of such member's insolvency.

The MFDA Investor Protection Corporation (www.mfda.ca/ipc/ipc.html) is a compensation fund providing protection to eligble customers of MFDA members on a discretionary basis to prescribed limits if securities, cash and other property held by any such member are unavailable as a result of the member's insolvency.