A reminder to all dealers, of the Canadian Investment Regulatory Organization’s (CIRO) December 31, 2024, deadline to update all required membership disclosures and brochures with CIRO branding and to provide the new CIRO Complaints Brochure. SEE...
The Stephanie McManus Award was presented to Mary Andrews, for her outstanding contributions to the ACCP in 2024. The award was renamed to honour the memory of long time ACCP member and former ACCP Chair, Stephanie McManus. Congratulations, Mary!
The Canadian Securities Administrators (“CSA”) have recently provided clarification on the application of existing securities laws to AI systems in Staff Notice and Consultation 11-348. The notice seeks whether future reforms will be needed to specifically address AI...
The Canadian Securities Administrators (CSA) proposed revisions to the mutual fund sales practices rules, around the sale of proprietary funds as well as the disclosure of compensation arrangements to investors. Feedback is also being sought on principal distributors...
The Canadian Securities Administrators (CSA) announced that as of March 3, 2025, investment funds in continuous distribution, will now be able to file prospectuses every two years instead of annually. Also starting March 3, 2025, funds will not have to file a final...
The Ontario Securities Commission (OSC) and the Canadian Investment Regulation Organization (CIRO) have initiated a coordinated review within Canadian bank branches, following concerns of potential investor harm from alleged high-pressure sales practices. The review...
