Compliance and Regulatory Affairs
About
The Compliance and Regulatory Affairs team at CIRO is responsible for ensuring that investment dealers and mutual fund dealers adhere to regulatory standards and best practices. This team conducts thorough investigations, assessments, and examinations related to business conduct, trading activities, and compliance violations, while also providing guidance on relevant policies and regulations. They play a critical role in fostering ethical practices within the financial industry and protecting investor interests across Canadian markets.