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ARTICLE · 08 JULY 2020

Expect Big Changes To SROs: CSA Releases Its Consultation Paper For A Revised SRO Framework

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On June 25, 2020 the Canadian Securities Administrators ("CSA") released their Consultation Paper 25-402 – Consultation on the Self-Regulation Organization Framework ("Consultation Paper").

CanadaCorporate/Commercial Law
Brad Moore
Brad Moore
Robert Marks
Robert Marks
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Introduction

On June 25, 2020 the Canadian Securities Administrators ("CSA") released their Consultation Paper 25-402 – Consultation on the Self-Regulation Organization Framework ("Consultation Paper"). The Consultation Paper discusses seven key issues of the existing framework for self-regulatory organizations ("SROs") and is seeking feedback from industry representatives, investor advocates, and the public on how the innovation and development of the financial services industry has impacted the current regulatory regime.

CSA announced its plan to undertake this review in December 2019. In anticipation of CSA's Consultation Paper, the Investment Industry Regulatory Organization ("IIROC") and the Mutual Fund Dealers Association of Canada ("MFDA") released papers outlining their proposed new framework for SROs.

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