| Canadian Investment Regulatory Organization

CIRO Proficiency Model for Approved Persons under the Investment Dealer and Partially Consolidated Rules - Exam Fees

Market Share Report for the Second Quarter of 2025

Marketplace Bulletin

Modernization of requirements for account transfers and bulk account movements

Read more about Modernization of requirements for account transfers and bulk account movements

A client service disruption can occur when a client decides to transfer their account from one firm to another and there are significant delays in moving some or all of the client’s account positions to the new firm. Reasons for these delays largely stem from:

CIRO Hearing Panel issues Reasons for Decision in the matter of Hongjia Liu

Decision Notice

CIRO issues white paper and publishes rule amendment proposals to improve account transfers

IN THE MATTER OF Randy Bryan Hildebrandt – Adjournment

Worldsource Securities Inc.

OSC and CIRO report highlights sales culture concerns at Canada’s largest bank-affiliated dealers

Modernization of requirements for account transfers and bulk account movements (IDPC Rule 4800 and MFD Rule 2.12)

Request for Comments

List of floating and tracking error margin rates for qualifying Canadian and U.S. index products

Investment Dealer

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