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10 novembre 2023
Understanding the Canadian Investment Regulatory Organization (CIRO): A quick primer
The Canadian Investment Regulatory Organization (CIRO), resulting from the amalgamation of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA), began operating on January 1, 2023. The introduction of the new self-regulatory organization (formerly known as the New Self-Regulatory Organization of Canada or New SRO) has led to significant changes in the oversight of investment dealers and mutual fund dealers across the country, as well as new opportunities. BLG and AUM Law have created this simple and informative tool to make it easier to find, understand and act on several important topics. We will update this website as new information becomes available, including information on the CSA.
Key Contacts
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Julie Mansi
Associée
Services
- Marchés financiers
- Dérivés
- Contrats commerciaux
- Gestion des investissements
- Fusions et acquisitions
- Voir la biographie
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Michael Taylor
Associé
Services
- Gestion des investissements
- Réglementation et conformité des personnes inscrites
- Fonds de capital-investissement, fonds de couverture et placements non traditionnels
- Fonds communs de placement
- Dérivés
- Voir la biographie
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Maureen Doherty
Associée
Services
- Différends en matière de valeurs mobilières
- Litige bancaire
- Enquêtes et défense des cols blancs
- Actions collectives
- Différends contractuels
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David Di Paolo
Associé
Services
- Litige commercial
- Enquêtes et défense des cols blancs
- Différends en matière de valeurs mobilières
- Litige bancaire
- Actions collectives
- Voir la biographie
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Christian Faribault
Associé
Services
- Gestion des investissements
- Fonds communs de placement
- Fonds de capital-investissement, fonds de couverture et placements non traditionnels
- Réglementation et conformité des personnes inscrites
- FNB, produits structurés et fonds d’investissement à capital
- Voir la biographie
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Kathryn Fuller
Associée
Services
- Gestion des investissements
- Fonds communs de placement
- FNB, produits structurés et fonds d’investissement à capital
- Fonds de capital-investissement, fonds de couverture et placements non traditionnels
- Réglementation et conformité des personnes inscrites
- Voir la biographie
AUM Law Professional Corporation
Regulatory Compliance Counsel and Consultants to Securities Registrants – AUM Law was founded in 2009 with a vision to serve the regulatory compliance needs of securities registrants. AUM Law has been part of Borden Ladner Gervais LLP (BLG) since May 2021 and is integrated with BLG’s suite of alternative legal services known as BLG Beyond. AUM Law offers practical, cost-effective legal and consulting advice on securities regulatory compliance matters.
Practical Advice. Efficient Service. Fixed-Fee Plans. Singular Focus.