Back to: CIRO Institutional DMTP — Domain 1: Conduct and Compliance
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Who regulates Canada’s securities markets, the five-level instrument hierarchy, and the marketplaces, clearing agencies and other laws that shape institutional business.
Learning objectives
By the end of this module, you will be able to:
Identify who regulates Canada’s securities markets and what each regulator actually does
Explain how federal and provincial/territorial regulators work together through the CSA
Describe CIRO’s mandate, jurisdiction, and the rules you must follow as a dealer employee
Locate the rule or guidance that applies to a specific question using the instrument hierarchy
Name the other key agencies — CIPF, FINTRAC, OSFI — and their distinct roles
How this module runs
Work through the lessons in order. The module closes with a case study, a set of key takeaways, and a five-question knowledge check that must be passed at 80% before the module is marked complete.
