Welcome to Canadian Investment Regulatory Organization
CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces.
CIRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments.
CIRO Releases Three-Year Strategic Plan
CIRO released its inaugural three-year Strategic Plan outlining areas the public interest regulator will focus on to promote healthy capital markets, so investors feel protected and confident investing for their futures.
Highlights
Helping Firms with Compliance for 2024
We are pleased to present our annual Compliance Priorities Report: Helping Firms with Compliance for 2024. This report summarizes current issues and challenges that dealers regulated by CIRO should focus on to improve investor protection and foster market integrity. It also outlines initiatives that support transformation and innovation in the industry.
Ransomware Response Playbook
We have prepared a Ransomware Response Playbook that can be used as a guide when dealing with ransomware incidents.
Rule Consolidation Project – Phase 3
CIRO is publishing for comment Phase 3 of its Rule Consolidation Project rule proposals. The Rule Consolidation Project will bring together the two member regulation rule sets currently applicable to investment dealers and to mutual fund dealers into one set of member regulation rules applicable to both categories of CIRO Dealer Members.