Notice of Ownership Changes

2. Submit the Notice and supporting materials to CIRO.

Submit the required notice (e.g., the Notice of Ownership Change) and any supporting materials to [email protected]. Alternatively, Members may request a ShareFile link from [email protected]. The notice submitted by the Member must contain sufficient information and documentation for CIRO to commence a meaningful review of the proposed change. Incomplete submissions, or submissions with material deficiencies, will not be accepted for review.

Once CIRO staff have determined the submission to be substantially complete, CIRO will provide a written confirmation to the Member that the notice has been accepted for review.

3. Update the firm’s registration information with the securities regulatory authority in the applicable jurisdictions.

For ownership changes, Members are also required to update their firm registration information with the applicable CSA member(s).

If the Member’s head office is in a jurisdiction where the CSA member has delegated the firm registration function to CIRO, the Member must include the relevant changes to the Form 33-109F6 Registration Information when submitting their Notice of Ownership Change to CIRO.

Members must submit their completed Form 33-109F5 (PDF) and a blacklined Form 33-109F6 (PDF) to CIRO, for jurisdictions where firm registration has been delegated to CIRO. CIRO will review the revised Form 33-109F6 in parallel with the Member’s Notice of Ownership Change. Refer to Delegation of additional registration functions to CIRO for more information regarding delegation of firm registration.

Information on how to submit updates to a firm’s registration with CSA members that have not delegated the firm registration to CIRO can be found on the CSA members’ websites. Links to the websites for each CSA member are provided in the Regulatory Links below.