Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2004. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Current Members
CIRO monitors the financial and operations, business conduct, and trading conduct compliance of registered individuals and Dealer Members. Using a risk-based approach, we schedule and conduct examinations of Dealer Members to assess compliance of firms and their registered individuals with the relevant IDPC Rules, MFD Rules, UMIR, and securities legislation.
This section provides information for CIRO members on compliance reviews, reports, business continuity, custodial agreements, etc.
Investment Dealer Members can also find information on the requirement to notify CIRO of changes in ownership or structure, and material changes to their business activities (collectively, a "Business Change") under IDPC Rule 2246.