Canadian Investment Regulatory Organization (CIRO) - Rule Consolidation Project – Phase 5

CIRO - Request for Comments - Rule Consolidation Project - Phase 5
CIRO - Proposed Rules - Phase 5 - Proposed Amendments
CIRO - Proposed Rules - Phase 5 - Blackline Proposed Amendments
CIRO - Proposed Rules - Phase 5 - Proposed DC Form 1
CIRO - Proposed Rules - Phase 5 - Blackline Proposed DC Form 1
CIRO - Proposed Rules - Phase 5 - Table of Concordance
CIRO - Proposed Rules - Phase 5 - Impact Analysis of the Phase 5 Proposed DC Rules

The Canadian Investment Regulatory Organization (CIRO) is publishing for comment, for a 90-day period, Phase 5 of its Rule Consolidation Project rule proposals. The Rule Consolidation Project is to bring together the two member-regulation rule sets governing investment dealers and mutual fund dealers into one set of member regulation rules that applies to both categories of CIRO Dealer Members. Phase 5 of the Rule Consolidation Project will consolidate rules relating to outsourcing and service arrangements, continuing education, reporting and handling of complaints, internal investigations and other reportable matters, recordkeeping and client reporting, financial solvency, client asset use and custody, and financing arrangements.

CIRO’s bulletin sets out the process for submitting comments.

Published: March 27, 2025.

Comment Period Expires: June 25, 2025