Explore essential accounting practices for investment dealers, including accurate transaction documentation, regulatory compliance, reconciliation processes, and internal controls to maintain client trust and meet CIRO standards.
Explore margin accounts in-depth, including how they work, associated risks like margin calls, CIRO regulations, and best practices for managing client leverage effectively.
Discover everything you need to know about cash accounts, including settlement cycles, CIRO regulations, and best practices for managing client transactions effectively.
Learn the essential guidelines investment dealers must follow when communicating trading information to customers, including trade confirmations, account statements, CIRO regulations, and best practices for transparency and compliance.
Explore comprehensive guidelines and best practices for handling client complaints and account transfer requests in Canada's investment industry, ensuring compliance with CIRO regulations and enhancing client relationships.