Disgorgement – Proposed Amendments to the Mutual Fund Dealer Rules

Summary/details:

The Canadian Investment Regulatory Organization (CIRO) is proposing to amend section 7.4.1 of the Mutual Fund Dealer (MFD) Rules to specifically provide for disgorgement, in order for the MFD Rules to conform with the Investment Dealer and Partially Consolidated (IDPC) Rules (the “Proposed Amendments”).

Relevant documents:

Date opened: August 21, 2025

Comments Due By: September 22, 2025

Status: Closed

Bulletins about this consultation:

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