Onshore
Regulator Performance Overview
580
97
18
23
2
1
Insurance coverage protecting client deposits and funds
Requirement for client funds to be held separately from company funds
High
Tier 1
Detailed assessment of regulatory capabilities and effectiveness
Detailed breakdown of the 6 key regulatory performance indicators
Value and prestige of licenses issued by this regulator
Effectiveness of regulatory framework and enforcement
This regulator shows excellent performance with an overall score of 97.
Strongest performance in Regulatory
Transparency Level: high
Global Tier: tier1
The Canadian Investment Regulatory Organisation (CIRO) is Canada's national self-regulatory body, overseeing all investment dealers, mutual fund dealers, and trading marketplaces for all forms of debt and equity in Canada.
CIRO incorporated the duties of two former regulators - the Investment Industry Regulatory Organisation of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA).
From its inception, CIRO brought two regulatory obligations and enforcement under one umbrella organisation.
The creation of CIRO represents an essential step in modernising Canada's investment regulatory framework.
The regulatory coverage of CIRO includes every aspect of the investment industry.
Bond, Stocks
Protection against negative account balances in trading
Access to qualified investment professionals and advisory services
Government-regulated
North Korea - Iran - other sanctioned countries
Institutional strength and organizational capability
Risk assessment and management protocols
Investor protection measures and safeguards
Client fund protection and insurance coverage
Brokers authorized and regulated by this authority
No brokers found
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