16 Questions
What is the purpose of conducting an investor survey?
To inform the strategic direction and future priorities of the Office of the Investor
What is one of the key areas for providing education and guidance to Members and investors?
Complaint handling
What will the dedicated section on the website provide for the Office of the Investor and Investor Advisory Panel?
Information relevant to the mandate of the office such as research and education materials
What is the focus of harmonizing the compliance department's operations?
Aligning Investment Dealer and Mutual Fund Dealer compliance processes where appropriate based on workplan
What is the primary role of the Canadian Investment Regulatory Organization (CIRO)?
Regulating investment dealers and mutual fund dealers
What is the name of the information processor (IP) for Canadian corporate and government debt securities operated by CIRO?
CIRO IP
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)?
January 1, 2023
In addition to investment dealers and mutual fund dealers, what else does CIRO oversee?
Trading activity on Canada’s debt and equity marketplaces
What is the main focus of CIRO as mentioned in the text?
Regulating investment industry and mutual fund dealers
Which event led to the creation of CIRO?
The merger of different financial regulatory bodies
What is one of the priorities that CIRO will focus on during fiscal year 2023-2024?
Promoting the investor perspective through the Office of the Investor and Investor Advisory Panel
What does CIRO aim to maintain in relation to its staff?
Maintain an engaged, empowered, and unified staff
Under the interim rules, if a firm becomes dual-registered, what is the new approval category for Registered Representatives?
Dealing in mutual funds only
Regarding Continuing Education requirements, where should one look for information according to the text?
Response to question #5
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?
No, they don't need to complete any additional courses
What are the proficiency requirements for a Supervisor in relation to activities of individuals approved to deal in mutual funds only?
Not required to complete any additional courses
Test your knowledge about the development of the workplan and delivery of the mandate for the Investor Advisory Panel (IAP) and key investor protection requirements.
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