Current Members

CIRO Compliance monitors the financial and operations, business conduct, and trading conduct compliance of Dealers and their registered individuals. Using a risk-based approach, we schedule and conduct examinations to assess compliance of Dealers and their registered individuals with the relevant IDPC Rules, MFD Rules, UMIR, and securities legislation.

This section provides valuable information regarding compliance reviews, reports, business continuity, custodial agreements, etc.

Dealers 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") as set out in the MFD Rules or the IDPC Rules, as applicable, as well as National Instrument 33-109 (where CSA members have delegated the registration of investment dealers, mutual fund dealers and futures commission merchants to CIRO).