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ARTICLE · 03 MARCH 2025

Avoiding Compliance Déjà Vu: CIRO's Compliance Report For 2025

Borden Ladner Gervais LLP
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The Canadian Investment Regulatory Organization (CIRO) released its latest annual compliance report (the Report). The Report details some of the current issues which CIRO regulated dealers should focus on for their.

CanadaCorporate/Commercial Law
Kimberly Poster
Kimberly Poster
Melissa Ghislanzoni
Melissa Ghislanzoni
Julie Mansi
Julie Mansi
William (Bill) Donegan
William (Bill) Donegan
Adam Ragusa
Adam Ragusa
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The Canadian Investment Regulatory Organization (CIRO) released its latest annual compliance report (the Report). The Report details some of the current issues which CIRO regulated dealers should focus on for their supervision and risk management efforts.

Completed CIRO integrations to date

The Report begins by discussing some of the compliance integration work already completed by CIRO, including:

  • The integration of the former investment dealer and mutual fund dealer compliance teams;
  • New oversight of mutual fund dealers with a head office in Québec;
  • Aligned information requests via the annual dealer questionnaire, together with a new questionnaire platform;
  • New harmonized risk models for Business Conduct, Financial & Operations and Trading Conduct Compliance;

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