Nov 23, 2023 | News
CIRO, in cooperation with the Chambre de la sécurité financière (CSF), has announced that they have agreed to an exchange of information for participants who are subject to both CIRO’s Mutual Fund Dealer (MFD) CE Program and CSF’s CE Program requirements. The...
Nov 22, 2023 | News
The Financial Services Regulatory Authority of Ontario, (FSRA) issued draft guidance intended to ensure that agents and managing general agencies (MGAs) are equipped to comply with regulatory requirements, treat customers fairly and meet their legal obligations. The...
Nov 17, 2023 | News
New CIPF brochures are available for order. A two-year transition period was set for the changes required by the CIPF Disclosure Policy. Firms that were members of the Former CIPF and MFDA IPC prior to Jan. 1, 2023, must be in compliance by January 1, 2025. Inventory...
Nov 17, 2023 | News
The Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) published a summary of responses and comments to CSA/IIROC Staff Notice 23-329 Short Selling in Canada. Copies of the comment letters are publicly available on the...
Nov 16, 2023 | News
Each year the Ontario Securities Commission (OSC) delivers a Business Plan to the Minister of Finance and publishes it on its website. The Business Plan includes the priorities the Commission will undertake in the upcoming fiscal year in connection with the...
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