Episode Summary In this episode, John and Jane tackle the controversial topic of self-regulation. While skeptics view self-regulatory organizations (SROs) as "foxes guarding henhouses", John explains that Canada’ model is actually supervised self-regulation. They discuss the 2023 merger of IIROC and the MFDA into CIRO and guide listeners through the practical steps of filing a complaint, highlighting why your Know Your Client (KYC) form is the ultimate decider of financial disputes.

Key Concepts

• The 2023 SRO Merger: Prior to 2023, Canada’s SRO structure was split between IIROC (overseeing investment dealers trading stocks and bonds) and the MFDA (overseeing mutual fund dealers). In 2023, they merged to form the  ...