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19-0118 - Appendix A
File
19-0118 - Appendix A.pdf
About CIRO
Executive Leadership Team
Andrew J. Kriegler
Jennifer Armstrong
Claudyne Bienvenu
Ian Campbell
Richard Korble
Kevin McCoy
Karen McGuinness
Laura McNeil
Elsa Renzella
Georgina Whitehead
Alexandra Williams
Kevin McCoy
Board of Directors
Tim Hodgson (Chair)
Kathryn Chisholm
Miranda Hubbs
Louis Marcotte
Philip Mayers
Jennifer Newman
Laura Tamblyn Watts
Janet Woodruff
Board of Directors Mandate
Kevin Kennedy
Debra Doucette
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
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)
Office of the Investor
Dealers We Regulate
Looking up an Investment Advisor or Firm
Search Outside CIRO
Know Your Advisor: Advisor Report
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
Investing Basics
Types of Investments and Types of Accounts
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
Managing Financial Hardships: A Guide for Canadian Investors
DIY vs. Advised Investing: Which is right for you?
The Couple’s Guide to Finances & Investing
Youth Guide to Finance and Investing
A Guide to Retirement Planning and Living
A Guide to Investing for Newcomers to Canada
Finance and Investing Guide for Canada’s Service Members, Veterans, and their Families
Top Ten Investing Myths — Debunked
FAQs for Ex-Pat Canadian Investors
External Investment Resources: Other Useful Links
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
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
Understanding Financial Certifications
Markets
Equity Markets We Regulate
Trade Surveillance
Surveillance Contacts
News Release Vetting Request
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
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
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
Reactivate Registration (Ontario)
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
Consultations
Whistleblower Service
For Firms
Applying for Membership
Becoming a Dealer Member
Becoming a Regulated Marketplace
Current Members
Becoming a Dual-Registered Firm
Business Changes for Dealer Members
Dealers We Regulate
Dealer Member Compliance
Compliance Reviews and Reports
Sanctions Reporting
Business Continuity
Bare Trustee Agreements
Custodial Agreements (Mutual Fund Dealers)
Custodial Agreements (Investment Dealers)
Mutual Fund Dealers - Québec
Members
Public
Fee Models
Fee Models for Mutual Fund Dealers
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
Becoming a Registered Individual at an Investment Dealer
Frequently Asked Questions about the National Registration Database (NRD)
Proficiency
Proficiency - FAQ
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
Publications
Publications FAQ
Halts and Resumptions
Market Volatility
Our Reports
ePublications
CIRO Official Brochures
Videos
