Highlights of CIRO’s 2026 Compliance Report

CIRO’s Compliance Report for 2026: Helping Dealers with Compliance explores the key issues and challenges that CIRO‑regulated dealers should prioritize to strengthen investor protection and support robust market integrity. This webcast highlights important topics featured in this year’s report that will help dealers focus their supervision and risk management efforts, including:

• An update on CIRO’s Compliance Integration work;
• Common financial and operational compliance issues identified, including cybersecurity risk, innovation challenges surrounding crypto asset trading platforms (CTPs) and the use of artificial intelligence, and mutual fund dealer issues;
• Common trading conduct compliance issues identified, and an update on the UMIR amendments related to the reasonable expectation to settle a short sale;
• Common business conduct compliance issues identified in the CSA-CIRO Client-Focused Reforms (CFR) Phase 2 Sweep report and during CIRO’s examinations;
• An update on the delegation of registration functions to CIRO and key details to help dealers comply with registration procedures;
• Important information to help dealers ensure their approved persons comply with CIRO’s new proficiency model.

Program Details