The Canadian Investment Regulatory Organization (CIRO) has released its Annual Compliance Report 2025, providing guidance on emerging challenges, helping dealers align their risk-management and supervisory efforts with regulatory expectations. The report highlights...
The Ontario Securities Commission (OSC) approved the Canadian Investment Regulatory Organization’s (CIRO) proposed new integrated fee model. The new integrated model is being adopted to introduce, a consistent and harmonized approach to collecting fees. The new...
The Financial Services Regulatory Authority of Ontario (FSRA) has begun consulting on a proposed rule for managing general agents (MGAs). The new proposed rule aims to enhance consumer protection and strengthen oversight of MGAs. FSRA said in a notice of the rule that...
The Canadian Investment Regulatory Organization (CIRO) announced the mutual fund Dealer Members transition from the Member Event Tracking System, (METS) to the Complaints and Settlement Reporting System, (ComSet) effective February 24, 2025. Required reporting of...
The Canadian Investment Regulatory Organization (CIRO) has introduced a funding initiative focused on supporting organizations dedicated to improving financial literacy and investor protection across Canada. The program seeks to empower non-profit and charitable...
The RCMP announced the launch of a pilot national special advisory group, to provide real-time expert advice on investigations at the RCMP’s Integrated Market Enforcement Team (IMET) offices for a 12-month pilot period. The IMET teams that drive the investigations,...
