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Episode 13: CIRO and Supervised Self-Regulation | Canadian Investing
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The Canadian Investment Regulatory Organization (CIRO) is the single self-regulatory organization overseeing investment dealers and mutual fund dealers across Canada, formed by merging IIROC and the MFDA. This episode looks at what CIRO actually does — proficiency and conduct rules, compliance reviews, and enforcement against advisors and firms — and how its authority differs from the provincial regulators above it. It also covers what happens when an advisor breaks the rules, from fines…
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