Dealers We Regulate

CIRO oversees investment and mutual fund Dealers and their representatives across Canada. Each Dealer has been categorized into one of the eleven peer groups as presented in the List of CIRO Dealers by Peer Group (PDF).

CIRO may impose terms and conditions on Dealers, pertaining to either membership or compliance related matters. For information on Dealers subject to CIRO terms and conditions, please click on the following:

Terms and conditions may also be imposed on a Dealer’s registration by securities regulatory authorities in Canada. To check if there are any other terms and conditions imposed on a Dealer, please consult the National Registration Search database provided by the Canadian Securities Administrators at CSA National Registration Search.