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    About CIRO

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    • Understanding Risk
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  • Markets

    Markets

    • Equity Markets We Regulate
    • Trade Surveillance
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  • Rules and Enforcement

    Rules and Enforcement

    • Policy Initiatives
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  • For Firms

    For Firms

    • Delegation of additional registration functions to CIRO
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    • Guidance for Firm Applications
    • Mutual Fund Dealers - Québec
    • Fee Models
    • Forms and Templates
    • Educational Resources
  • For Registered Individuals

    For Registered Individuals

    • Delegation of additional registration functions to CIRO
    • Becoming a Registered Individual at an Investment Dealer
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  • Newsroom

    Newsroom

    • News Releases
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  • Questions/Complaints
  • Careers
  • English
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CIRO to Hold an Interim Appearance for Kevin Douse

MFDR
Hearing Notice
October 2, 2025

Tips for Traders Toronto – October 29, 2025

Education Bulletin
October 2, 2025

Investor Alert: PlusCapitalAdvisor falsely claims affiliation with W.D. Latimer Co. Ltd. and CIRO registration

Investor Alert
October 1, 2025

Investor Alert: Horbitts falsely claiming CIRO registration

Investor Alert
September 30, 2025

CIRO Hearing Panel issues Reasons for Decision in the matter of James Benjamin Peddle

MFDR
Decision Notice
October 3, 2025

Proposed Amendment of Approved Person Fees Component within the Annual Fee of Dealer Member Fee Model

Interim Fee Model
Request for Comments
October 8, 2025
Division
Investment Dealer
Mutual Fund Dealer

Investor Alert: uTrader falsely claims affiliation with Fortrade and CIRO registration

Investor Alert
September 26, 2025

CIRO Elects 12 Board Directors

General
September 25, 2025

Colliers Securities (Canada) Inc.

Category:

Colliers Securities (Canada) Inc.

New Member
September 25, 2025

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Welcome to CIRO.ca!

You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

Canadian Investment Regulatory Organization logo

Other CIRO sites:

  • Corporate and Government Debt Trade Information
  • CIRO Services
  • Members Only Website
  • Notice of Basis Order
  • Facebook
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  • Website Terms of Use
  • Privacy
  • Accessibility (PDF)
  • Contact Us
  • About CIRO
    • Executive Leadership Team
      • Andrew J. Kriegler
      • Jennifer Armstrong
      • Claudyne Bienvenu
      • Ian Campbell
      • Richard Korble
      • Kevin McCoy
      • Elsa Renzella
      • Georgina Whitehead
      • Alexandra Williams
      • Kevin McCoy
      • Nicholas Hrebicek
    • Board of Directors
      • Kathryn Chisholm
      • Miranda Hubbs
      • Louis Marcotte
      • Philip Mayers
      • Jennifer Newman
      • Laura Tamblyn Watts
      • Board of Directors Mandate
      • Kevin Kennedy
      • Debra Doucette
      • Helena Gottschling
      • Michelle Khalili
      • Rhonda Goldberg
      • Robert Frances
      • Timothy Mills
    • Board Committees
      • Governance Committee Mandate
      • Finance, Audit and Risk Committee Mandate
      • Human Resources and Pension Committee Mandate
      • Appointments Committee Mandate
    • Careers
      • A Shared Purpose
      • Focus on Well-being
      • Pride in Excellence
    • Governance & Bylaws
    • National Council and Regional Councils
      • Pacific Regional Council Members
      • Alberta Regional Council Members
      • Saskatchewan Regional Council Members
      • Manitoba Regional Council Members
      • Ontario Regional Council Members
      • Québec Regional Council Members
      • Atlantic Regional Council Members
    • Advisory Committees
      • Conduct, Compliance and Legal Advisory Section (CCLS)
      • Proficiency Committee
      • Financial and Operations Advisory Section (FOAS)
      • Fixed Income Advisory Committee
      • Market Rules Advisory Committee (MRAC)
    • Our Sponsored Partners
  • Office of the Investor
    • Dealers We Regulate
    • Looking up an Investment Advisor or Firm
      • Search Outside CIRO
    • Know Your Advisor: Advisor Report
    • Investing Basics
      • Types of Investments and Types of Accounts
        • Registered Disability Savings Plan (RDSP)
      • Glossary of Common Investing Terms
      • Selecting an Advisor
      • Fees and Costs
      • How to Read Your Account Statement and the Things to Focus on
      • Transferring Accounts Between Firms
      • Understanding Investment Performance / Returns
      • Benefits of having a Financial Plan
      • Know Your Rights as An Investor
      • Interest Rates and How They Impact Your Finances
      • Navigating Finances: Paying Down Debt vs. Investing
      • Compound Interest
      • Fractional Investing
      • Invest smart: Taxes and Investing
      • Understanding Bull and Bear Markets
      • Managing A Financial Windfall
      • Fully-Paid Stock/Securities Lending
      • Managing Financial Hardships: A Guide for Canadian Investors
      • DIY vs. Advised Investing: Which is right for you?
      • Top Ten Investing Myths — Debunked
      • What is An Emergency Fund?
    • Guides for Investors
      • A Guide to Investing for Newcomers to Canada
      • A Guide to Retirement Planning and Living
      • Finance and Investing Guide for Canada’s Service Members, Veterans, and their Families
      • Managing Financial Hardships: A Guide for Canadian Investors
      • The Parents Guide to Raising Money-Smart Kids
      • The Couple’s Guide to Finances & Investing
      • Youth Guide to Finance and Investing
    • How CIRO Protects Investors
      • Where We Fit in the Canadian Securities Regulatory Framework
        • Understanding Registration Categories
      • The Benefits of Working with a CIRO Member
    • How to Make a Complaint
      • Complaints Outside of CIRO’s Jurisdiction
      • Seeking Financial Compensation?
        • Arbitration-FAQ
        • Arbitration Statistics
      • Complaints and Inquiries Statistics
    • Avoiding Fraud and Protecting Your Investments
      • Account Intrusions: Cybersecurity Checklist
      • Schemes, Scams and Swindles
        • Elder Financial Exploitation
        • The Crypto Scheme
        • The Investment Account Intrusion
        • The Recovery Scam
      • Why You Should Consider Appointing a Trusted Contact Person
      • 3 Things You Should Never Do With Your Investment Advisor
      • How to Protect Yourself Against Fraud and Scams
      • Cybersecurity and Fraud
      • Romance and Investment Scams
      • Artificial Intelligence (AI) and Investment Fraud
      • Recovery Scams
      • Warning Signs of Investment Fraud
      • What to Do If You're a Victim of Fraud
      • Finfluencers in Investing
      • Safe or Scam: How to tell the Difference
    • Understanding Risk
      • Investor’s guide: Cryptocurrencies
      • Investor Questionnaire
      • Risk of Borrowing to Invest
      • Learn about the Risk of Crypto Assets
    • Investor Alerts
    • Investor Advisory Panel
      • Investor Advisory Panel Agenda
        • Investor Advisory Panel Agenda - February 10, 2023
        • Investor Advisory Panel Agenda - March 24, 2023
        • Investor Advisory Panel Agenda - April 21, 2023
        • Investor Advisory Panel Agenda - June 1, 2023
        • Investor Advisory Panel Agenda - July 28, 2023
        • Investor Advisory Panel Agenda - October 27, 2023
        • Investor Advisory Panel Agenda - January 30, 2024
        • Investor Advisory Panel Agenda - May 31, 2024
        • Investor Advisory Panel Agenda - August 28, 2024
        • Investor Advisory Panel Agenda - October 31, 2024
        • Investor Advisory Panel Agenda - January 16, 2025
        • Investor Advisory Panel Agenda - February 26, 2025
        • Investor Advisory Panel Agenda - May 12, 2025
        • Investor Advisory Panel Agenda - August 19, 2025
        • Investor Advisory Panel Agenda - October 29, 2025
        • Investor Advisory Panel Agenda -  February 4, 2026
  • Markets
    • Equity Markets We Regulate
    • Trade Surveillance
      • Surveillance Contacts
      • Trading Halts & Timely Disclosure
      • Cease Trade Orders
      • SMARTS Platform
    • Canadian Bankers’ Acceptance Rates
    • Corporate and Government Bond Information
    • Reports, Statistics and Other Information
      • Short Sale Trading Statistics and Reports
      • Bond and Money Market Secondary Trading Statistics
      • Reports of Market Share by Marketplace
      • Monthly Client Debt Margin
  • Rules and Enforcement
    • Policy Initiatives
    • Dealer Member Rules
      • Rule Consolidation Project
      • Access to Advice
        • Online Advice Project
        • Order Execution Only Project
      • Supporting Schedules
        • Cross guarantee (related companies)
        • Custodial agreement (NCI)
        • Custodial agreement (general)
        • Foreign currency groups
        • Limited recourse call loan agreement
        • List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies)
        • List of Acceptable Exchanges and Market Tiers in Canada and the United States
        • List of Basel Accord Countries
        • List of acceptable trade matching utilities for broker-to-broker trade matching
        • List of approved inter-dealer bond brokers
        • List of entities considered suitable to hold LBMA gold and silver good delivery bars
        • List of floating and tracking error margin rates for qualifying Canadian and U.S. index products
        • List of foreign exchange (FX) spot risk margin rates for Canadian and U.S. base currency accounts
        • List of foreign market indices whose constituent securities are eligible for margin
        • List of regulators and self-regulatory organizations with adequate dealer regulatory oversight
        • List of securities eligible for reduced margin (LSERM)
        • New issue loan master agreement
        • Repurchase/reverse repurchase
        • Securities loan (no set-off)
        • Securities loan (with set-off)
        • Subordinated loan agreement
        • Type 1 Introducing broker
        • Type 2 Introducing broker
        • Type 3 Introducing broker
        • Type 4 Introducing broker
      • Interim Rules – Frequently Asked Questions
      • Guidance Notes
      • MFDA Staff Notices
    • Universal Market Integrity Rules
      • UMIR Guidance Update Project
      • Highly Liquid Stocks
      • Single Stock Circuit Breakers
    • Client Identifiers
      • Frequently Asked Questions
      • Technical Specifications
      • Legal Entity Identifiers
      • Glossary of Terms
    • Enforcement
      • Enforcement Proceeding Notices
      • Guide to the Enforcement Process
      • Sanction Guidelines
      • Enforcement Staff Policy Statements
      • Enforcement Activity
      • Mediation
      • Unpaid Fines Report
    • Hearings
      • Guide to Hearings
      • Self-Represented Parties
      • Hearing Panels
        • Panel Members
      • Hearing Process
      • Hearing Format
        • Hearing Committee Beast Practices for Electronic Proceedings (June 2023)
      • Case Center
        • Best Practices for the Use of Case Center (June 2023)
        • Case Center – FAQs
      • Hearing Forms
      • Procedural Rules & Guidance
      • Hearing Panel Decisions
      • Hearing Record
      • Complaining about a hearing
        • Code of Conduct for Members of the CIRO Hearing Committees
      • Observer Guidelines for CIRO Hearings
    • Consultations
    • Whistleblower Service
  • For Firms
    • Delegation of additional registration functions to CIRO
      • Delegation of additional registration functions to CIRO - Frequently Asked Questions
    • Applying for Membership
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      • Becoming a Dual-Registered Firm
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      • Dealers We Regulate
      • Dealer Compliance
        • Compliance Reviews and Reports
        • Sanctions Reporting
        • Business Continuity
        • Bare Trustee Agreements
      • Mutual Fund Bare Trustee Agreements (Mutual Fund Dealers)
      • Mutual Fund Bare Trustee Agreements (Investment Dealers)
    • Service Standards for New Firm Applications and Material Business Changes
    • Guidance for Firm Applications
    • Mutual Fund Dealers - Québec
      • Members
      • Public
    • Fee Models
      • Integrated Fee Model
        • Integrated Fee Model - Frequently Asked Questions (FAQs)
      • Legacy Fee Models for Mutual Fund Dealers
      • Legacy Fee Models for Investment Dealers
    • Forms and Templates
    • Educational Resources
      • Cybersecurity & Technology
        • Incident Reporting Summary
        • Self-assessment surveys
        • Site visits
        • Table-top exercises
        • Guides and resources
        • Helpful Links
  • For Registered Individuals
    • Delegation of additional registration functions to CIRO
    • Becoming a Registered Individual at an Investment Dealer
      • Frequently Asked Questions about the National Registration Database (NRD)
    • Proficiency
      • Investment Dealers
      • Existing Approved Persons
      • New Candidates
      • Education Providers
      • Exam Hub
        • Canadian Investment Regulatory Exam (CIRE)
        • Chief Compliance Officer Exam
        • Chief Financial Officer Exam
        • Derivatives Exam
        • Director and Executive Exam
        • Institutional Securities Exam
        • Retail Securities Exam
        • Supervisor Exam
        • Trader Exam
      • Competency Hub
      • Rules, Guidance and Bulletins
      • CIRO Proficiency eNewsletter
    • Registration Review Hearings
    • Continuing Education
      • Mutual Fund Dealer (MFD) Continuing Education (CE) Program
        • Mutual Fund Dealer (MFD) Continuing Education (CE) Requirements – Frequently Asked Questions (FAQs)
        • Continuing Education (CE) Reporting and Tracking System (CERTS) – Frequently Asked Questions (FAQs)
      • Investment Dealer (ID) Continuing Education (CE) Program
      • Webcast Catalogue
  • Newsroom
    • News Releases
    • CIRO Media Kit
    • Interactive Map
    • Publications
      • Publications FAQ
    • Halts and Resumptions
      • Market Volatility
    • Our Reports
    • ePublications
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    • Videos