2023 CIRO Mutual Fund Dealer Audits

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Speakers discuss the essential matters affecting audits for mutual fund dealers, non-integrated dealers with mutual fund and investment dealer registrations and integrated/dual registered dealers. Issues discussed are:

  • Description of the current audit process and cycle, proposed changes, and timing of proposed changes for head office and branches.
  • Common Deficiencies and Resolutions.
  • Client Focused Reforms including “conflicts of interest”, KYC, KYP.
  • Current and future areas of interest.


Karen McGuinness
Senior Vice President – Office of the Investor, Member Intake and Innovation

Louise Hamel
VP – Member Compliance

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