Dealer Compliance

CIRO Compliance teams examine Dealers to assess their compliance with our Rules and applicable securities legislation.

Financial and Operations Compliance (FINOPS), formerly Financial Compliance for the mutual fund dealers, monitors the solvency of all Dealers and ensures that business activities are conducted within prescribed capital limits. FINOPS also monitors Dealer’s adherence to operational rules, including the safeguarding of customer assets.

Business Conduct Compliance (BCC), formerly Sales Compliance for the mutual fund dealers, monitors business conduct related activities of Dealers and their registered individuals. BCC ensures that Dealers have implemented policies, procedures, and controls to conduct and supervise their lines of business in compliance with applicable rules and to protect investors.

Trading Conduct Compliance (TCC) monitors the trading-related activities of Dealers. TCC ensures that Dealers have implemented policies, procedures, and controls to prevent and detect potential negative impacts to market integrity and comply with applicable requirements.