CIRO publishes playbook for dealing with ransomware attacks

CIRO conducted two cybersecurity table-top exercises in 2023, for small and medium-sized member firms. Following the exercise, CIRO has published a Ransomware Response Playbook, for dealing with ransomware attacks. The report sketches out a framework outlining the...

CIRO rule book harmonization sparking push back

The Canadian Investment Regulatory Organization (CIRO) is harmonizing rules for mutual fund and investment dealers and aiming to establish the structure for a new harmonized rule book. CIRO is facing push back on proposals allowing fund dealers to offer...

FSRA’s amended UDAP Rule shields investors from hidden fees

Ontario’s financial services regulator, the Financial Services Regulatory Authority (FSRA), has introduced a significant second amendment to the Unfair or Deceptive Acts or Practices (UDAP) Rule. The amendment’s objective is to offer stronger protection...

FSRA tightens LLQP exam taking process

The Financial Services Regulatory Authority of Ontario (FSRA) is tightening test-taking procedures, in the wake of reports of exam cheating. The new test procedures will align with national best practices. FSRA will also introduce tougher consequences for individuals...
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