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ARTICLE · 08 APRIL 2026

The Future Is Now: CIRO’s Compliance Report For 2026

Borden Ladner Gervais LLP
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The Canadian Investment Regulatory Organization (CIRO) released its latest annual compliance report (the Report) which details areas of focus for CIRO-regulated dealers in 2026 and beyond.

CanadaCompliance
Jonathan Doll
Jonathan Doll
William (Bill) Donegan
William (Bill) Donegan
Christian Faribault
Christian Faribault
Melissa Ghislanzoni
Melissa Ghislanzoni
Iñaki Gomez
Iñaki Gomez
Griffin Murphy
Griffin Murphy
Michael Taylor
Michael Taylor
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The Canadian Investment Regulatory Organization (CIRO) released its latest annual compliance report (the Report) which details areas of focus for CIRO-regulated dealers in 2026 and beyond. As always, we encourage firms to use the Report as a checklist to conduct a gap analysis of regulatory and compliance priorities.

Where Dealer Members may wish to focus

In anticipation of CIRO’s enhanced focus on the following topics in upcoming CIRO dealer member (Dealer Member) examinations, firms may wish to revisit and, if necessary, enhance, their existing policies and procedures, documentation, and training in the following areas:

  • AI use is a significant focus of the regulators. Dealer Members will want to ensure that they understand and have documented their AI use in all aspects of their business and operations. Dealer members should implement appropriate policies and controls to address risks, including privacy. Based on our experience to date assisting firms registered with the

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