The New Self-Regulatory Organization of Canada (New SRO) says it is looking for applicants interested in work on the New SRO’s proficiency committee focused on proficiency and operations. The committee’s mandate to provide advice related to licensing standards and continuing education.
“The committee will be an important source of practical industry expertise and input,” the regulator writes in its call for applications on March 31. “Proficiency is a strategic priority for New SRO. High proficiency standards play a key role in investor protection and the integrity and efficiency of capital markets.”
In addition to advising on proficiency, continuing education, licensing policies, standards and initiatives, the committee will also assist in the development of standards and competency profiles and review materials from education service providers. The New SRO explicitly notes that members may not work for organizations that provide New SRO proficiency courses or have expressed an interest in doing so officially in response to any requests for expressions of interest.
The 15-member committee will be made up of personnel with retail experience and those with institutional dealer member experience, and those with particular expertise in compliance, legal, proficiency, education and training. Committee members are appointed for two-year terms. Applications are being accepted until May 1, 2023.