Mar 26, 2026 | News
The Canadian Investment Regulatory Organization (CIRO) has introduced a new Document Production Guide to help dealers preserve data integrity, reduce delays from resubmissions, and improve investigation efficiency through faster evidence review and analysis. The Guide...
Mar 19, 2026 | News
Canadian Investment Regulatory Organization (CIRO) will launch its Disgorgement Distribution Program and will return funds collected through enforcement actions to affected investors. The program aims to strengthen investor protection by ensuring that penalties for...
Mar 19, 2026 | News
The Canadian Investment Regulatory Organization (CIRO) is updating section 7.4.1 of the Mutual Fund Dealer (MFD) Rules to explicitly allow for disgorgement, aligning the MFD Rules with the Investment Dealer and Partially Consolidated (IDPC) Rules (the “Amendments”)....
Mar 17, 2026 | News
The Financial Services Regulatory Authority of Ontario (FSRA) is reminding individuals who use the Financial Planner title, or similar designations, to review Ontario’s title protection requirements and ensure they hold an approved credential before the March 28, 2026...
Mar 13, 2026 | News
The Canadian Investment Regulatory Organization (CIRO) has updated its guidance on order execution-only (OEO) account services, replacing Guidance Note 3400-21-003. The revised rules introduce changes in response to the continued growth of do-it-yourself (DIY)...
Feb 26, 2026 | News
CRKhoury (CRK) is conducting an independent review of the mandates and operations of the Ombudsman for Banking Services and Investments. A dedicated review website has been launched to share information and updates. Stakeholders can submit feedback by April 3, 2026....
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