Canadian Investment Regulatory Organization (CIRO) – Request for Comments: Rule Consolidation Project – Phase 4

CIRO - Request for Comments - Rule Consolidation Project – Phase 4
CIRO - Proposed Rules - Phase 4 - Proposed Amendments
CIRO - Proposed Rules - Phase 4 - Blackline Proposed Amendments
CIRO - Proposed Rules - Phase 4 - Table of Concordance

The Canadian Investment Regulatory Organization (CIRO) is publishing for comment, for a 110-day period, Phase 4 of its Rule Consolidation Project rule proposals. The purpose of the Rule Consolidation Project is to bring together the member-regulation rule sets governing investment dealers and mutual fund dealers into consolidated member-regulation rules that applies to both categories of CIRO Dealer Members. Phase 4 of the Rule Consolidation Project includes consolidated rules relating to approval and proficiency for individuals, managing significant areas of risk, and business conduct and client account rules.

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

Comment Period Expires: February 4, 2025

Published: October 17, 2024