The Canadian Investment Regulatory Organization (CIRO) is working to help investment dealers, keen to take part in the federal government’s effort to facilitate banking sector innovation through “open banking,” expected to launch in early 2026. CIRO aims to clarify...
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 Investment Funds Institute of Canada (IFIC) released its 2024 Investment Funds Report, offering data and comprehensive analysis of mutual fund and ETF sales and assets under management as well as industry trends. SEE MORE
The Canadian Securities Administrators (CSA) 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...
