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ARTICLE · 28 MARCH 2023

A New Year And A New SRO: Two Months In

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The New Self-Regulatory Organization of Canada (the New SRO) commenced operations right on schedule on Jan. 1, 2023. The pace of change has been brisk with the New SRO...

CanadaFinance and Banking
Rebecca Cowdery
Rebecca Cowdery
William (Bill) Donegan
William (Bill) Donegan
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The New Self-Regulatory Organization of Canada (the New SRO) commenced operations right on schedule on Jan. 1, 2023. The pace of change has been brisk with the New SRO not slowing down on implementing and suggesting policy changes and new developments.

This significant regulatory change has ushered in a range of new options and possibilities for investment dealers and mutual fund dealers alike. With some organizations already publicly announcing their intention to become "dual-registered" members of the New SRO, it is clear the new opportunities are being embraced.

The opportunities for dealers are many and include:

  • Organizations with investment dealer and mutual fund dealer entities can simplify their structure and create efficiencies by consolidating into a single entity with dual registration.

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