BCSC Releases 2024 Compliance Report on Client Focused Reforms

The British Columbia Securities Commission’s (BCSC) 2024 review, flags 130 compliance issues at 19 firms, with KYC and suitability leading. Policies, conflicts, disclosure, marketing, and client reporting also ranked high, highlighting ongoing challenges for...

Additional Registration Duties Delegated to CIRO

Beginning October 1, the Canadian Investment Regulatory Organization (CIRO) will take on more responsibility for enhanced registration authority, for registering investment dealers, mutual fund dealers, and their representatives, in Manitoba and Saskatchewan. SEE...

CSA Launches Consultation on Self-Certified Investor Exemption

As part of efforts to expand access to investment opportunities, regulators in most provinces (except B.C. and Quebec) and the territories are seeking feedback on a proposed exemption. This new rule would allow companies to raise funds from knowledgeable investors who...

CIRO’s IAP issues Annual Report

The Canadian Investment Regulatory Organization’s (CIRO) Investor Advisory Panel, (IAP) published its 2024-2025 Annual Report highlighting its work on behalf of Canadian investors and CIRO. Composed of experts from across Canada, the IAP advises CIRO on...

CIRO releases Annual Report for fiscal year 2025

The Canadian Investment Regulatory Organization (CIRO) released its 2025 Annual Report, highlighting progress on integration and its three-year Strategic Plan. Highlights include: new enforcement powers granted in Ontario, Québec passing Bill 92, transferring more...

CSA extends comment period for OBSI consultation

The Canadian Securities Administrators (CSA) have extended the deadline for submitting feedback on a consultation regarding the introduction of binding authority at the Ombudsman for Banking Services and Investments (OBSI). Allowing an additional two weeks for input,...
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