Oct 22, 2025 | News
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...
Oct 20, 2025 | News
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
Oct 10, 2025 | News
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....
Oct 6, 2025 | News
The Canadian Investment Regulatory Organization (CIRO) has revised its Complaints and Settlement Reporting System (ComSet) reporting rules effective November 1, 2025. Dealer Members must now attach supporting documents, when first entering or updating a report. The...
Oct 2, 2025 | News
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...
Sep 30, 2025 | News
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...
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