A key component of effective self-regulation is industry input and involvement. The Proficiency Committee plays an important role in supporting CIRO Proficiency Staff on matters relating to proficiency policy and operations. The Committee is a valuable source of practical industry knowledge and expertise working with CIRO to ensure high standards of proficiency, professionalism and ethics on the CIRO platform.
To advise CIRO Staff on matters relating to proficiency policy and operations. This includes matters relating to licensing standards and training and continuing education.
CIRO Proficiency Staff.
- The Committee will provide feedback to CIRO Staff with respect to proficiency and licensing policies, standards and initiatives.
- The Committee will support CIRO Proficiency Staff in its oversight of proficiency courses through review of course material and proposals relating to course content, instructional design, etc.
- The Committee will support CIRO Proficiency Staff in the development and updating of proficiency and competency standards by providing input and through the work of specialized ad hoc committees struck by CIRO Proficiency Staff.
The Committee will be comprised of a floating number of members limited to a maximum of 15. Committee membership will aim to draw from the following areas of expertise:
- senior management personnel of Dealer Members;
- education and training personnel of Dealer Members;
- institutional and retail personnel of Dealer Members;
- compliance and legal personnel of Dealer Members; and
- people with expertise in proficiency matters (including non-Dealer Member).
Members of the Committee may not provide proficiency consulting services to CSI or any other provider of the CIRO proficiency courses.
Two (2) year term, renewable
Applications are reviewed by CIRO Proficiency Staff. Committee members are appointed by the President and CEO or his/her designate on the advice of CIRO Proficiency Staff. CIRO will aim to achieve a membership reflective of different sizes and types of firms and different regions of Canada.
A Chair is elected by the members of the Committee for the 2 year term of the Committee.
CIRO Proficiency Staff may strike working groups or ad hoc subcommittees.
The Proficiency Committee will meet quarterly. Special meetings may be called at the request of the Committee Chair or Proficiency Staff.
||Cormark Securities Inc.
||BMO Financial Group
||BMO Global Asset Management
||PWL Capital Inc.
||Merrill Lynch Canada Inc.
||RBC Dominion Securities
||Beutel, Goodman & Company Ltd.
||Investors Group Securities Inc.
|Mary Lou Olton
||IPC Securities Corporation
||Sun Life Financial
||Independent Trading Group (ITG) Inc.
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