The Ontario Securities Commission’s (OSC) Investment Management Division Annual Report, is sharpening its regulatory focus, moving from broad oversight toward more targeted examinations of new asset types and fund structures. The report identifies three central...
The Canadian Investment Regulatory Organization (CIRO) is seeking feedback from the Canada Revenue Agency, (CRA) to address a long-standing gap between Investment Dealer advisors and mutual fund dealer advisors. CIRO proposes a new registration category for advisor...
The Canadian Investment Regulatory Organization (CIRO) is proposing to permit Investment Dealer advisors to receive compensation through personal corporations. The change aims to harmonize allowable compensation options for investment dealer and mutual fund dealer...
The Canadian Investment Regulatory Organization (CIRO) has indefinitely paused its planned research on the retail investor landscape. The self-regulatory organization (SRO) had aimed to launch a 2027 project requiring dealers to provide data on retail clients through...
The British Columbia Securities Commission (BCSC) is proposing aligning with other provincial regulators by transferring the responsibility for fund dealer registration to the Canadian Investment Regulatory Organization (CIRO). SEE MORE
The Canadian Investment Regulatory Organization (CIRO) is proposing an overhaul to its fee model ,to cover the added costs of assuming registration duties from provincial regulators. This change will mainly impact mutual fund dealers with large numbers of advisors....
