Podcast
Questions and Answers
What is the purpose of conducting an investor survey?
What is the purpose of conducting an investor survey?
What is one of the key areas for providing education and guidance to Members and investors?
What is one of the key areas for providing education and guidance to Members and investors?
What will the dedicated section on the website provide for the Office of the Investor and Investor Advisory Panel?
What will the dedicated section on the website provide for the Office of the Investor and Investor Advisory Panel?
What is the focus of harmonizing the compliance department's operations?
What is the focus of harmonizing the compliance department's operations?
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What is the primary role of the Canadian Investment Regulatory Organization (CIRO)?
What is the primary role of the Canadian Investment Regulatory Organization (CIRO)?
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What is the name of the information processor (IP) for Canadian corporate and government debt securities operated by CIRO?
What is the name of the information processor (IP) for Canadian corporate and government debt securities operated by CIRO?
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When did the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) amalgamate to form the New Self-Regulatory Organization of Canada (New SRO)?
When did the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) amalgamate to form the New Self-Regulatory Organization of Canada (New SRO)?
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In addition to investment dealers and mutual fund dealers, what else does CIRO oversee?
In addition to investment dealers and mutual fund dealers, what else does CIRO oversee?
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What is the main focus of CIRO as mentioned in the text?
What is the main focus of CIRO as mentioned in the text?
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Which event led to the creation of CIRO?
Which event led to the creation of CIRO?
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What is one of the priorities that CIRO will focus on during fiscal year 2023-2024?
What is one of the priorities that CIRO will focus on during fiscal year 2023-2024?
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What does CIRO aim to maintain in relation to its staff?
What does CIRO aim to maintain in relation to its staff?
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Under the interim rules, if a firm becomes dual-registered, what is the new approval category for Registered Representatives?
Under the interim rules, if a firm becomes dual-registered, what is the new approval category for Registered Representatives?
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Regarding Continuing Education requirements, where should one look for information according to the text?
Regarding Continuing Education requirements, where should one look for information according to the text?
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If an individual was previously approved as a 'Supervisor over Approved Persons' with an IIROC member firm, do they need to complete additional courses to supervise individuals in the new category?
If an individual was previously approved as a 'Supervisor over Approved Persons' with an IIROC member firm, do they need to complete additional courses to supervise individuals in the new category?
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What are the proficiency requirements for a Supervisor in relation to activities of individuals approved to deal in mutual funds only?
What are the proficiency requirements for a Supervisor in relation to activities of individuals approved to deal in mutual funds only?
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