Mar 27, 2026 | News
Effective April 1, 2026, the Canadian Investment Regulatory Organization (CIRO) has partnered with Mintz Global Screening to carry out background checks for individual registration applications. Mintz Global Screening will conduct checks across Canada, the United...
Mar 26, 2026 | News
The Canadian Investment Regulatory Organization (CIRO) has introduced a new Document Production Guide to help dealers preserve data integrity, reduce delays from resubmissions, and improve investigation efficiency through faster evidence review and analysis. The Guide...
Mar 19, 2026 | News
Canadian Investment Regulatory Organization (CIRO) will launch its Disgorgement Distribution Program and will return funds collected through enforcement actions to affected investors. The program aims to strengthen investor protection by ensuring that penalties for...
Mar 19, 2026 | News
The Canadian Investment Regulatory Organization (CIRO) is updating section 7.4.1 of the Mutual Fund Dealer (MFD) Rules to explicitly allow for disgorgement, aligning the MFD Rules with the Investment Dealer and Partially Consolidated (IDPC) Rules (the “Amendments”)....
Mar 17, 2026 | News
The Financial Services Regulatory Authority of Ontario (FSRA) is reminding individuals who use the Financial Planner title, or similar designations, to review Ontario’s title protection requirements and ensure they hold an approved credential before the March 28, 2026...
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