Chartered Investment Manager (CIM) Practice Exam · Question
Which Canadian regulatory body is primarily responsible for the oversight of investment dealers and financial advisors across Canada?
CIRO (formerly IIROC and MFDA) is the national self-regulatory organization that oversees investment dealers and their advisors, enforcing rules and standards t
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Question: Which Canadian regulatory body is primarily responsible for the oversight of investment dealers and financial advisors across Canada?
Answer options: ✅ Canadian Investment Regulatory Organization (CIRO)
- Office of the Superintendent of Financial Institutions (OSFI)
- Bank of Canada
- Canada Revenue Agency (CRA)
Correct answer: Canadian Investment Regulatory Organization (CIRO)
Explanation: CIRO (formerly IIROC and MFDA) is the national self-regulatory organization that oversees investment dealers and their advisors, enforcing rules and standards to protect investors and ensure market integrity.
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