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About CIRO
Executive Leadership Team
Andrew J. Kriegler
Jennifer Armstrong
Claudyne Bienvenu
Ian Campbell
Nigel Carpenter
Richard Korble
Karen McGuinness
Laura McNeil
Victoria Pinnington
Elsa Renzella
Alexandra Williams
Georgina Whitehead
Board of Directors
Tim Hodgson (Chair)
Patricia Callon
Kathryn Chisholm
Debra Doucette
Luc Fortin
Robert Frances
Miranda Hubbs
Michelle Khalili
Louis Marcotte
Philip Mayers
Timothy Mills
Jennifer Newman
Laura Tamblyn Watts
Janet Woodruff
Board of Directors Mandate
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
National Advisory Committee
Conduct, Compliance and Legal Advisory Section (CCLS)
Proficiency Committee
Financial and Operations Advisory Section (FOAS)
Fixed Income Advisory Committee
Market Rules Advisory Committee (MRAC)
Policy Advisory Committee
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
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
Understanding Investment Performance / Returns
Know Your Rights as An Investor
Interest Rates and How They Impact Your Finances
Navigating Finances: Paying Down Debt vs. Investing
Compound Interest
The Couple’s Guide to Finances & Investing
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?
Avoiding Fraud and Protecting Your Investments
3 Things You Should Never Do With Your Investment Advisor
Artificial Intelligence (AI) and Investment Fraud
How to Protect Yourself Against Fraud and Scams
Romance and Investment Scams
Warning Signs of Investment Fraud
What to Do If You're a Victim of Fraud
Why You Should Consider Appointing a Trusted Contact Person
Understanding Risk
Investor Questionnaire
Risk of Borrowing to Invest
Learn about the Risk of Crypto Assets
Investor Alerts
Understanding Financial Certifications
Rules and Enforcement
Policy Initiatives
Rule Consolidation Project
Investment Dealer and Partially Consolidated Rules
Mutual Fund Dealer Rules
MFDA Staff Notices
Universal Market Integrity Rules
Interim Rules – Frequently Asked Questions
Enforcement
Enforcement Proceeding Notices
Guide to the Enforcement Process
Reactivate Registration (Ontario)
Sanction Guidelines
Enforcement Staff Policy Statements
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)
In-Person and Hybrid Hearings Protocol
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
Consultations
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News Room
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Publications FAQ
Halts and Resumptions
Market Volatility
Custodial Agreements (Investment Dealers)
Custodial Agreements (Mutual Fund Dealers)
Our Reports
ePublications
CIRO Official Brochures
Videos