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.

CIRO

This department manages the processing and inquiries related to registrations and ensures accurate record-keeping.

Registration Services

This department oversees and enforces regulations related to business conduct and compliance standards.

Business Conduct Compliance

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.

Compliance and Regulatory Affairs

The Data Management and Analytics team at CIRO is responsible for harnessing and analyzing vast amounts of financial data to enhance regulatory oversight and support investment dealers. They develop and maintain data systems, create advanced analytical models, and provide actionable insights that improve surveillance technology and ensure compliance in Canada’s equity and debt marketplaces. This team plays a critical role in safeguarding market integrity through data-driven decision-making.

Data Management and Analytics

This department handles legal matters, compliance, and regulatory enforcement for the organization.

Legal Affairs

This department monitors market activities to ensure compliance and identify potential risks.

People (9)

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Other teams

Business Conduct Compliance

Compliance and Regulatory Affairs

Data Management and Analytics

Legal Affairs

Market Surveillance