Guidance on the new CIRO Proficiency Model for Approved Persons of . . . On January 1, 2026, Canadian Investment Regulatory Organization (CIRO) will implement new rules to establish an assessment centric proficiency model with some mandatory education and training requirements (proficiency model) The purpose of this Guidance Notice is to assist Dealer Members (dealers), existing Approved Persons and individuals seeking approval, prepare for the new rules in
Guidance on CIRO Proficiency Model — Learnedly. The Canadian Investment Regulatory Organization (CIRO) will implement a new assessment-centric proficiency model for Approved Persons of investment dealers effective January 1, 2026, replacing the current course-centric approach with a framework that includes competency-based exams, mandatory conduct training, and specific exemptions for currently approved individuals The new model shifts
Here’s what you need to know about CIRO’s new proficiency model In a few months’ time, Canadian investment dealer personnel will have to follow a new proficiency framework, established and maintained by the Canadian Investment Regulatory Organization (CIRO) It’s the result of a multi-year initiative undertaken by CIRO, formerly the Investment Industry Regulatory Organization of Canada, to enhance its proficiency regime “We felt the need to provide
CIRO Proficiency Model lt; Canadian Securities Institute The new rules will include changes to the current requirement for mandatory courses offered by the Canadian Securities Institute (CSI) Under the new rules, CIRO will be moving towards an assessment centric proficiency model for Approved Persons of Investment Dealers
Guidance on the new CIRO Proficiency Model for Approved Executive Summary On January 1, 2026, Canadian Investment Regulatory Organization (CIRO) will implement new rules to establish an assessment centric proficiency model with some mandatory education and training requirements (proficiency model)
CIRO Proficiency Model for Approved Persons under the Investment Dealer . . . Executive Summary The Canadian Securities Administrators (CSA) have approved amendments to Rules 2500 to 2800 of the Investment Dealer and Partially Consolidated Rules (IDPC Rules), which establish an assessment centric proficiency model with some mandatory education and training requirements (the Amendments)
CIRO Compliance Report for 2025: Helping Dealers with Compliance We are pleased to present our annual Compliance Report for 2025: Helping Dealers with Compliance This report summarizes current issues and challenges that dealers 1 regulated by CIRO should focus on to improve investor protection and foster strong market integrity This report helps dealers focus their supervision and risk-management efforts to comply with our regulatory requirements in a way
Canadian Investment Regulatory Organization proposed amendments | BLG The Canadian Investment Regulatory Organization (CIRO) recently published proposed amendments to its proficiency rules (the Proposed Amendments), which will determine the qualifications required for Approved Persons to manage, supervise and provide investment advice on behalf of Canadian investment dealers for years to come
Everything You Need To Know About The Canadian Investment Regulatory . . . Welcome to BLG and AUM Law's dynamic resource on the Canadian Investment Regulatory Organization (CIRO) We invite you to bookmark and revisit this page which will be updated to reflect developments of importance to CIRO registered firms Resulting from the amalgamation of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA
Canadian Investment Regulatory Organization We are the pan-Canadian self-regulatory organization that oversees all investment dealers, mutual fund dealers, and trading activity on Canada’s debt and equity marketplaces Our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures