The Designated Financial Services Advisor (DFSA) designation, no longer qualifies for use of the “Financial Advisor” (FA) title in Ontario. Overseen by the Canadian Securities Institute, (CSI) the Financial Services Regulatory Authority of Ontario, (FSRA) removed the...
Each year, the Canadian Investment Regulatory Organization’s (CIRO) Board of Directors and staff, receive exemption requests from Investment Dealer and Partially Consolidated (IDPC) Rules, Mutual Fund Dealer (MFD) Rules, or Universal Market Integrity Rules...
The Ontario Securities Commission (OSC) is seeking feedback from stakeholders on its proposed Statement of Priorities for 2025-2026. The proposed priorities build on the OSC’s Strategic Plan to modernize regulation, by responding quickly to market changes....
The Canadian Securities Administrators (CSA) announced plans to explore delegating specific registration functions to the Canadian Investment Regulatory Organization (CIRO). The proposed delegation aims to enhance efficiency and reduce regulatory burdens. A...
The Ontario Securities Commission (OSC) has announced plans to delegate the registration function of investment dealers, mutual fund dealers and registrants of mutual fund dealers, to the Canadian Investment Regulatory Organization (CIRO). The registration of firms in...
The Canadian Securities Administrators (CSA) are reintroducing proposed rule changes to issuers’ use of electronic access to deliver continuous disclosure documents. The proposed rule changes, will expand to allow issuers’ continuous disclosure documents, including...
