Jan 12, 2024 | News
The Canadian Investment Regulatory Organization (CIRO) is publishing Phase 2 of its Rule Consolidation Project rule proposals, for comment. The Phase 2 Proposed DC Rules involve the adoption of rules relating to: margin, debt markets and Inter-Dealer Bond Brokers...
Jan 12, 2024 | News
OSC Staff Notice 11-739 (revised) has been issued by the Ontario Securities Commission. Revisions have been made to the Table of Concordance and List of New Instruments. The full version of the Table of Concordance and List of New Instruments as of December 31, 2023,...
Jan 9, 2024 | News
The Financial Services Regulatory Authority of Ontario (FSRA) is proceeding with a rule change on the use of deferred sales charges (DSCs) for investors with existing segregated fund contracts. The rule amendment requires insurers to remove the DSC option for deposits...
Dec 29, 2023 | News
The Stephanie McManus Award was presented to Joanne Attridge, for her outstanding contributions to the ACCP in 2023. The award was renamed to honour the memory of long time ACCP member and former ACCP Chair, Stephanie McManus. Congratulations, Joanne!
Dec 21, 2023 | News
CIRO has published new harmonized Sanction Guidelines, which takes effect February 1, 2024, replacing all previous Sanction Guidelines of both IIROC and the MFDA. CIRO has also introduced Enforcement Staff Policy Statements to encourage early resolution of cases and...
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