Case Assessment Officer

The Case Assessment Officer (CAO) has an important role in fulfilling CIRO’s investor protection mandate. Working in our Enforcement Department, the CAO is responsible for conducting preliminary investigations of regulatory complaints received from public investors and other regulatory bodies, as well as other matters reported through CIRO’s Complaints and Settlements (ComSet) database. The CAO collects information and documents from complainants, CIRO-regulated firms and other information sources in order to assess and identify possible regulatory misconduct.