CIRO
Peter Wong possesses extensive experience in compliance and regulatory roles within the financial services industry. Currently serving as Team Lead for Trading Conduct Compliance at CIRO/OCRI since July 2017, Peter has also held various positions related to compliance examination and business conduct. Prior to this role, Peter worked as Corporate Branch Manager at Investment Planning Counsel from August 2016 to July 2017. Peter’s career in compliance began at Assante Wealth Management, where roles spanned from Compliance Officer for Trade Surveillance to Senior Compliance Officer overseeing branch reviews from July 2011 to August 2016. Peter is an alumnus of Centennial College of Applied Arts & Technology.
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CIRO
Canadian Investment Regulatory Organization (CIRO) is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces.