Counsel, Business Conduct Compliance

Business Conduct Compliance, BCC, conducts examinations of investment dealers and mutual fund dealers to assess whether firms have appropriate controls to supervise their business conduct activities. BCC also reviews firm compliance with CIRO’s investor protection, sales conduct, supervision, complaint handling, conflicts of interest, know-your-client, suitability, and related business conduct requirements. BCC plays an important role in identifying current and emerging risks across the investment industry and supporting consistent, practical, and risk-based supervisory approaches.