Canadian Investment Regulatory Organization (CIRO) – Request for Comment: Proposed Rule Amendments for Registration and Proficiency Requirements

Canadian Investment Regulatory Organization (CIRO) – Proposed Rule Amendments for Registration and Proficiency Requirements - Request for Comment
Canadian Investment Regulatory Organization (CIRO) – Proposed Amendments to IDPC Rules - Clean
Canadian Investment Regulatory Organization (CIRO) – Proposed Amendments to IDPC Rules - Blackline
Canadian Investment Regulatory Organization (CIRO) – Summary of Proposed Amendments by IDPC Rule Reference
Canadian Investment Regulatory Organization (CIRO) – Board Resolution

The Canadian Investment Regulatory Organization (CIRO) is publishing, for a 30-day comment period, proposed amendments to the Investment Dealer and Partially Consolidated Rules (IDPC) relating to registration and proficiency requirements (the Proposed Amendments). The Proposed Amendments are intended to clarify differing views on the interpretation of the requirements impacted by the proposed amendments. Specifically, CIRO is proposing to refine the proficiency requirements in Rule 2600, clarify redundant and ambiguous language in Rules 2500, 2600, 2700, 3900, and make consequential changes to cross-references and terminology arising from the foregoing changes.

Published: August 31, 2023