| Canadian Investment Regulatory Organization

Snitzler, Jordan

Read more about Snitzler, Jordan

Rule amendments — Request for comments — Proposal to harmonize CIRO Continuing Education (CE) Programs

Read more about Rule amendments — Request for comments — Proposal to harmonize CIRO Continuing Education (CE) Programs

The Canadian Investment Regulatory Organization (CIRO) is proposing rule amendments to its continuing education (CE) programs under the Investment Dealer Partial Consolidated (IDPC) Rules and the Mutual Fund Dealer (MFD) Rules as part of its commitment to developing harmonized Continuing Education (CE) rules.

We have considered:

Registration, Proficiency (CIRO)

Read more about Registration, Proficiency (CIRO)

Underwriting regulatory financial reporting and capital requirements

December 20, 2024

Underwriting regulatory financial reporting and capital requirements

December 20, 2024

Kevin Kennedy

Executive Vice-President and Head of North American Market Services at Nasdaq

Rhonda Goldberg

Executive-Vice President and General Counsel, IGM Financial Inc.

Robert Frances

Founder, Chairman and Chief Executive Officer of Peak Financial Group

Debra Doucette

Chair of Odlum Brown

Non-tailored Advice in the Order Execution Only Channel

Read more about Non-tailored Advice in the Order Execution Only Channel

The Canadian Investment Regulatory Organization (CIRO) is evaluating the limitation of advice in the order execution only channel.

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