Navigating CIRO Exam Priorities and Focus Areas

On March 12, 2024, the Canadian Investment Regulatory Organization (CIRO) revealed its exam priorities for the year. These priorities shed light on the focus areas for upcoming exams across all dealers, particularly emphasizing the second phase of the client-focused reforms (CFRs).
In collaboration with the Canadian Securities Administrators, CIRO’s examinations will delve into registrants’ compliance with various CFR obligations, including Know Your Client, Know Your Product, and the enhanced suitability determination requirements implemented on December 31, 2021.
Join an essential webinar on April 10th at 1 p.m. ET, featuring industry experts Lawyer Chris Somerville, Lawyer and CEO Nancy Mehrad and Chief Compliance Officer Birju Shah, for a discussion centered on helping you and your firm master the CIRO exam priorities.
At InvestorCOM, we thrive on simplifying the complex. Our tailored solutions are finely tuned to CIRO’s focus areas, helping you turn compliance into your firm’s ultimate advantage. Learn more about InvestorCOM and tour our world-class compliance solutions at www.investorcom.com/demo.