Canadian Investment Regulatory Organization (CIRO) - Request for Comments: Proposed Amendments regarding Modernization of Requirements for Account Transfers and Bulk Account Movements

CIRO - Rules Bulletin - Request for Comments - Modernization of requirements for account transfers and bulk account movements
CIRO - Investment Dealer and Partially Consolidated Rules [Clean Proposed Amendments - Appendix 1A]
CIRO - Mutual Fund Dealer Rules [Clean Proposed Amendments - Appendix 1B]
CIRO - Board Resolution [Appendix 2]
CIRO - Investment Dealer and Partially Consolidated Rules [Blackline Proposed Amendments - Appendix 2A]
CIRO - Mutual Fund Dealer Rules [Blackline Proposed Amendments - Appendix 2B]
CIRO - Impact analysis of proposed rule amendments [Appendix 3]

The Canadian Investment Regulatory Organization (CIRO) is publishing, for a 60-day comment period, proposed amendments to Investment Dealer and Partially Consolidated Rule 4800 and Mutual Fund Dealer Rule 2.12 (the Amendments) to modernize requirements for account transfers and bulk account movements. The purpose of the Amendments is to reduce delays in transferring accounts from one member firm to another by modernizing rule requirements relating to account transfers.

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

Comment Period Expires: October 8, 2025
Published: July 10, 2025