Notifying CIRO of Business Changes


Continuing Education Credit

Compliance CE credit : 0.25

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This webcast introduces the new Request for Business Change template that CIRO Investment Dealers will be asked to complete and include in their business change submissions to CIRO. A Business Change can be a material change to an Investment Dealer’s business activities or changes to its ownership and/or corporate structure.

IDPC rules require CIRO Investment Dealers to notify CIRO in writing prior to making any material changes to business activities and/or changes to ownership or corporate structure. CIRO’s approval must be obtained prior to enacting these changes. Included in the notification to CIRO, Investment Dealers are asked to complete the new Request for Business Change template in addition to any supporting documentation. The webcast will expand on the notification requirement and provide an overview of the Request for Business Change template as a tool to assist Investment Dealers in outlining the change proposal.

Program Details

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