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As we continue our series of conversions with the regulators, today I’m talking with the new CEO of Canadian Investment Regulatory Organization (CIRO), Andrew J. Kriegler.

In this episode, we discuss…

The purpose of an SRO and the story behind the merger of IIROC and MDFA.

The benefits of the merger for advisors and consumers.

The challenges Andrew and his team are facing through the merger process.

The recent white paper that was issued regarding commission redirection

Andrew J. Kriegler is the inaugural CEO of the Canadian Investment Regulatory Organization (CIRO) formed on January 1, 2023, through the amalgamation of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA).

In late 2014, Andrew was appointed President and CEO of the Investment Industry Regulatory Organization of Canada (IIROC), CIRO’s predecessor organization. Before coming to IIROC, Andrew served as Deputy Superintendent of the Office of the Superintendent of Financial Institutions (OSFI) where he was responsible for the prudential supervision of Canada's federally regulated financial institutions. He also spent 25 years in the private sector, most recently as Treasurer of CIBC from 2008 to 2012, and earlier as Senior Vice President & Chief Human Resources Officer of Moody's Corporation, parent of the credit rating agency Moody’s Investors Service, where he had been the Canadian Country Managing Director.

Andrew has also worked as a treasury executive, as a securitization and debt capital markets banker, as an analyst and then a trader on a mortgage-backed securities trading desk.

What do you do in your business to make sure you are compliant? How do you protect not only yourself but your clients? Let’s have a virtual coffee and talk about it.

Schedule a virtual coffee with me using the form on the right.

If you’ve found this episode useful, or know of someone who could gain from it, I’d appreciate it if you would share it with them. Or subscribe and follow Turning the Page on Apple, Spotify or whatever podcast app you use!

Cheers,

Chris