Alert:
Canada Post continues to operate, but with expected delays in delivery. Should a strike occur, Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Tools for Notifying CIRO of Business Change
Project Details:
CIRO recently announced enhancements to the tools available for Members to prepare notices of material changes in business activities (for Investment Dealer Members) and notices of proposed ownership changes. The new or updated tools for Members are intended to increase efficiencies for applicants, provide greater transparency on the information and materials considered in CIRO’s review, and reduce unnecessary processing delays.
In this webcast, Membership Intake Managers Noel Sequeira,Harsh Khiara, and Liisa Nieminen, provide an overview of the tools and how they will assist Members in preparing a comprehensive submission, making it possible for CIRO to commence its review without delay. The new and updated tools include the Notice of Material Business Change tool, Notice of Ownership Change (Investment Dealer), Notice of Ownership Change (Mutual Fund Dealer) along with other new supplemental tools and checklists for ID Members.
Continuing Education Credit:
Back to Webcast Catalogue Investment Dealer CE Credit: Compliance: 0.5; Mutual Fund Dealer CE Credit: Business Conduct, Non-Ethics: 0.5
Welcome to CIRO.ca!
You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
The following sections of the legacy mfda.ca and iiroc.ca sites have been migrated to ciro.ca:
- Enforcement
- Hearings
- Consultations
- A unified member directory (Dealers We Regulate)
- Advisor Report
We will continue moving items off MFDA and IIROC in 2024. Stay tuned for future updates.