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Canadian Investment Regulatory Organization (CIRO) – Request for Comments: Proposal to Harmonize CIRO Continuing Education (CE) Programs

CIRO - Rule amendments — Request for comments– Proposal to harmonize CIRO Continuing Education (CE) Programs
CIRO - Proposed Continuing Education (CE) Amendments to MFD Rules (Clean) - Appendix 1
CIRO - Proposed Continuing Education (CE) Amendments to MFD Rules (Blackline) - Appendix 2
CIRO - Proposed Continuing Education (CE) Amendments to IDPC Rules (Clean) - Appendix 3
CIRO - Proposed Continuing Education (CE) Amendments to IDPC Rules (Blackline including proposed proficiency model amendments) - Appendix 4
CIRO - Proposed Continuing Education (CE) Amendments to IDPC Rules (Blackline to current IDPC Rule 2700) - Appendix 5

The Canadian Investment Regulatory Organization (CIRO) is publishing, for a 90-day comment period, first phase of proposed amendments to harmonize the CE Programs under the Investment Dealer and Partial Consolidated (IDPC) Rules and Mutual Fund Dealer (MFD) Rules. CIRO is also seeking feedback on further ways to harmonize the CE rules in the next phase for requirements that have significant operational and systems implications. The proposed amendments include amendments that harmonize the following areas:

  • Record-keeping and Reporting;
  • Accreditation;
  • Course Approvals;
  • Other specific CE requirements.

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

Comment Period Expires: March 6, 2025
Published: December 19, 2024