Self-Regulatory Organizations (SROs) 

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. The Securities Act (Alberta) gives the ASC authority to recognize SROs. These are the SROs currently recognized by the ASC: Mutual Fund Dealers Association of Canada (MFDA), Investment Industry Regulatory Organization of Canada (IIROC), Investment Dealers Association of Canada (IDA), and Market Regulation Services Inc. (RS).

Mutual Fund Dealers Association of Canada (MFDA)
Recognition Orders
Memorandum of Understanding
Oversight Review

Investment Industry Regulatory Organization of Canada (IIROC)
Recognition Order
Registration Authorization
Memorandum of Understanding
Oversight Review

Investment Dealers Association of Canada (IDA) 
Recognition Orders
Memorandum of Understanding
Oversight Review

Market Regulation Services Inc. (RS) 
Recognition Orders
Memorandum of Understanding
Oversight Review


Mutual Fund Dealers Association of Canada (MFDA)
2896980 - MFDA Response to ASC Audit Report.pdfCSA Joint Notice and Request for Comment - MFDA Application to Amend its Recognition Orders and the Definition of “Public Director” in By-law No. 15/23/2008
2876238 v1 - MDFA APPLICATION PUBLIC DIRECTOR DEFINITION.pdfMFDA Application for Amendment and Restatement of Recognition Order5/23/2008
2876241 v4 - MFDA AMEND RECOGNITION ORDER DEFINITION OF PU….pdfMFDA Proposed Amendments to the Recognition Order 5/23/2008
2876240 v1 - MFDA BY-LAW AMENDMENT _BLACKLINE_ DEFN OF PUB….pdfMFDA By-Law No.1 Proposed Amendments (Blackline): Definition of Public Director5/23/2008
MFDA_Variation_Order_-_2006.pdfMFDA 2006 IPC Approval Order7/13/2006
_2232507_v1_-_ASC_NOTICE_-_MFDA_IPC_AMENDING_ORDER.pdfASC Notice of 2006 MFDA IPC Amending Order7/13/2006
_2093088_v1_-_MFDA_2005_EXAM_COVERING_LETTER.pdfOversight Audit Report - ASC Cover Letter7/4/2006
MFDA_Final_Reviewed_Version.pdf2005 Oversight Audit Report7/4/2006
_2132479_v1_-_MFDA_Response_to_2005_Oversight_Review_Repor.pdfMFDA Response to 2005 Oversight Audit Report7/4/2006
_1847805 v1 - ASC NOTICE OF FINAL APPROVAL OF MFDA IPC.pdfASC NOTICE OF 2005 FINAL APPROVAL OF MFDA IPC5/20/2005
_1746225_v2_-_MFDA_IPC_Approval_Order.pdfMFDA 2005 IPC Approval Order5/20/2005
_1847659_v1_-_ASC_NOTICE_RE_MFDA_CONSENT.pdfASC Notice of consent for MFDA to enter into a Co-operatvie Agreement with Québec regulators5/20/2005
_1374600_v1_-_MFDACONSENTORDER.pdfConsent Order for MFDA to enter into a Co-operative Agreement with Québec regulators5/20/2005
ASC_Noitce_mfda_-_Nov_14-02.pdfNotice of Application for Approval of Mutual Fund Dealers Association Investor Protection Corporation (MFDA) and Proposed Amendment to Section 28 of the Alberta Securities Commission Rules (General)12/2/2002
Application_-_Dec_2_-_02.pdfApplication of the Mutual Fund Dealers Association of Canada (("MFDA") and the MFDA Investor Protection Corporation/Corporation de Protection des investisseurs de l'ACFM ("IPC") for approval, designation or consideration of the IPC as a protection plan fo11/14/2002
ASC_2004_MFDA_Oversight_Audit_Report.pdfASC 2004 MFDA Oversight Audit Report.pdf
MFDA_Response_to_ASC_Audit_Report.pdfMFDA Response to ASC Audit Report.pdf


Investment Industry Regulatory Organization of Canada (IIROC)
2949191 v1 - IIROC RULE NOTICE - BEST EXECUTION - JULY 18.pdfIIROC Rules Notice re: Best Execution 7/18/2008
2902832 v1 - ASC NOTICE _IIROC_ FINAL.pdfASC Notice re:  Recognition of IIROC5/30/2008
2891578 v1 - IIROC FINAL RECOGNITION ORDER - FINAL.pdfRecognition Order Investment Industry Regulatory Organization of Canada (IIROC)5/30/2008
2890699 v1 - IIROC DELEGATION OF REGISTRATION ORDER - FINA….pdfRegistration Authorization and Revocation Order (IIROC)5/30/2008
2899874 v1 - IIROC MOU FINAL _ENGLISH_.pdfMemorandum of Understanding re: IIROC5/30/2008


Investment Dealers Association of Canada (IDA)
2892324 v1 - IDA CONTINUATION OF RECOGNITION.pdfRecognition Order Investment Dealers Association of Canada (IDA)5/30/2008
ASCreporttoIDA 20070611.pdfASC 2006 Oversight Review: Investment Dealers Association of Canada, Prairie Regional Office6/11/2007
ASCReviewIDAresponseFinal2007Jul11.pdfIDA Response to the 2006 ASC Oversight Review, Prairie Regional Office6/11/2007
ASC_2003_IDA_Oversight_Audit_Report.pdfASC 2003 IDA Oversight Audit Report.pdf
IDA_Response_to_ASC_Audit_Report.pdfIDA Response to ASC Audit Report.pdf


Market Regulation Services Inc. (RS Inc.)
2891983 v1 - RS CONTINUATION OF RECOGNITION - FINAL.pdfRecognition Order Market Regulation Services Inc. (RS)5/30/2008
RS_AuditReport_2005.pdfBCSC/ASC Audit of RS Inc.
RS_AuditResponse.pdfResponse of RS. Inc. to Audit