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CIRO recently announced enhancements to the tools available for Members to prepare notices of material changes in business activities (for Investment Dealer Members) and notices of proposed ownership changes. The new or updated tools for Members are intended to increase efficiencies for applicants, provide greater transparency on the information and materials considered in CIRO’s review, and reduce unnecessary processing delays.
In this webcast, Membership Intake Managers Noel Sequeira,Harsh Khiara, and Liisa Nieminen, provide an overview of the tools and how they will assist Members in preparing a comprehensive submission, making it possible for CIRO to commence its review without delay. The new and updated tools include the Notice of Material Business Change tool, Notice of Ownership Change (Investment Dealer), Notice of Ownership Change (Mutual Fund Dealer) along with other new supplemental tools and checklists for ID Members.
There will be 0.5 Compliance continuing education credits available under the Investment Dealer (formerly IIROC) CE program and 0.5 Business Conduct (non-ethics) credits under the Mutual Fund Dealer (formerly MFDA) CE program.