| Canadian Investment Regulatory Organization

Financial and Operations Compliance

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Business Conduct Compliance

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Business Conduct Compliance

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General Counsel Office, Membership & GCO Specialist

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Member Regulation Policy

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General Counsel’s Office Exemptions (CIRO)

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Client Focused Reforms – Proposed Guidance on Know-your-client and Suitability Determination

Read more about Client Focused Reforms – Proposed Guidance on Know-your-client and Suitability Determination

We are publishing for comment proposed guidance (the Proposed Guidance) to assist Dealer Members (Dealers) in understanding and complying with IIROC’s Client Focused Reforms rule amendments relating to the know-your-client (KYC) and suitability determination requirements (the CFRs Amendments).