Aug 22, 2023 | News
CIRO released their 2024 Annual Priorities on June 1, 2023. The Annual Priorities summarizes current regulatory changes and issues that CIRO-regulated firms should focus on. The themes of the Annual Priorities encompass continuing to develop the CIRO brand, promoting...
Aug 16, 2023 | News
According to new data from LexisNexis Risk Solutions, the Canadian financial services industry is seeing a surge in cybercrime and fraud. The report found that Canadian financial services organizations are among the biggest targets. Particularly vulnerable areas...
Aug 8, 2023 | News
In a recently published joint Staff Notice, setting out the results of their regulatory reviews of industry compliance with conflict-of-interest provisions, the Canadian Securities Administrators (CSA) and CIRO indicated that only about one-fifth of the firms they...
Aug 4, 2023 | News
Regulators say advisor awards based on production may mislead clients. The CSA and CIRO called on firms and registrants, to remove references to award or recognition, in marketing and client communications, including on webpages or LinkedIn profiles. READ...
Aug 4, 2023 | News
Ciro will be undertaking a client research project for which they will request investment dealers and mutual fund dealers to provide detailed information on the investments held by their retail clients as at December 31, 2024. READ MORE
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