Jun 25, 2026 | News
Approved Persons and former Approved Persons affiliated with CIRO Dealer Members, can obtain their registration records by submitting a Registration Record Request Form to CIRO Registration Staff. Individuals may also authorize direct delivery of their records to a...
Jun 17, 2026 | News
The Canadian Investment Regulatory Organization (CIRO) has updated its guidance for mutual fund dealers, removing the requirement to separately notify CIRO of changes to trade, business, or style names. Since CIRO has accessed this information directly through the NRD...
Jun 11, 2026 | News
The Canadian Securities Administrators (CSA) announced final rule changes, requiring fund dealers to act as principal distributors only for funds within the same fund family. The changes aim to prevent the practice from expanding. Some provisions take effect October...
Jun 9, 2026 | News
The Financial Services Regulatory Authority of Ontario (FSRA) released its Operational Risk and Resilience Guidance for Ontario insurers and reciprocal insurance exchanges. The guidance raises supervisory expectations for cyber risk, third-party dependencies, data...
May 27, 2026 | News
Mutual fund dealers, advisors, and fund managers have 18 months to make the necessary changes to comply with the Canada Revenue Agency’s (CRA) enforcement of GST/HST on mutual fund trailing commissions. The CRA has announced that enforcement will begin on January 1,...
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