| Canadian Investment Regulatory Organization

Review of Compensation, Incentives and Conflicts of Interest

Compliance Bulletin

December 15, 2016

Mutual Fund Dealer

Summary of Comments and Next Steps – MFDA Bulletin #0679-C Mutual Fund Dealers Association – Client Research Project

Compliance Bulletin

Mutual Fund Dealer

Report on 2015 Review of Specific Policies and Procedures: Pre-Trade Disclosure, KYC Updates, Concentration Criteria, and Titles Targeting Seniors

Compliance Bulletin

February 4, 2016

Mutual Fund Dealer

2015 DSC Sweep Report - Supervision, Suitability and Disclosure of Funds with Sales Charges

Compliance Bulletin

December 18, 2015

Mutual Fund Dealer

Signature Falsification

Enforcement Bulletin

October 2, 2015

Mutual Fund Dealer

Investor Alert: noura-benimners

January 3, 2024

Investment Dealer

Mutual Fund Dealer

Select Vantage Canada Inc.

Category:

Select Vantage Canada Inc.

January 2, 2024

Caroline Ou (CIRO)

Read more about Caroline Ou (CIRO)

2024 MFD Financial Filing Deadlines

December 22, 2023

Welcome to CIRO.ca!

You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.