Chartered Investment Manager (CIM) Practice Exam · Question
Which body is the primary national self-regulatory organization (SRO) that oversees investment dealers and their trading activity in Canada?
CIRO (formerly IIROC and MFDA) is the national self-regulatory organization that oversees investment dealers and their trading activity in Canada, as well as mu
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Question: Which body is the primary national self-regulatory organization (SRO) that oversees investment dealers and their trading activity in Canada?
Answer options:
- The Bank of Canada. ✅ The Canadian Investment Regulatory Organization (CIRO).
- The Canada Revenue Agency (CRA).
- The Ministry of Finance.
Correct answer: The Canadian Investment Regulatory Organization (CIRO).
Explanation: CIRO (formerly IIROC and MFDA) is the national self-regulatory organization that oversees investment dealers and their trading activity in Canada, as well as mutual fund dealers.
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