Chartered Investment Manager (CIM) Practice Exam · Question
Which Canadian regulatory body is primarily responsible for overseeing investment dealers and requiring high standards of conduct from registrants?
CIRO (formerly IIROC and MFDA) is the national self-regulatory organization (SRO) that oversees investment dealers and trading activity on Canadian debt and equ
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Question: Which Canadian regulatory body is primarily responsible for overseeing investment dealers and requiring high standards of conduct from registrants?
Answer options:
- Bank of Canada (BoC).
- Canada Revenue Agency (CRA). ✅ Canadian Investment Regulatory Organization (CIRO).
- Office of the Superintendent of Financial Institutions (OSFI).
Correct answer: Canadian Investment Regulatory Organization (CIRO).
Explanation: CIRO (formerly IIROC and MFDA) is the national self-regulatory organization (SRO) that oversees investment dealers and trading activity on Canadian debt and equity marketplaces.
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