The Canadian Investment Regulatory Organization (CIRO) is republishing for public comment, its Proposal on Distributing Funds Disgorged and Collected through New SRO Disciplinary Proceedings to Harmed Investors (Proposal) as Notice 23-0010. No formal process currently...
The Canadian Investment Regulatory Organization (CIRO) has published Phase 4, of proposed harmonized dealer rules, for comment. The latest phase focuses on rules relating to approval and proficiency for individuals, managing significant areas of risk, and business...
The Office of the Superintendent of Financial Institutions (OSFI) published its 2023-24 Annual Report, which highlights key accomplishments over the past year as well as its 2024-2025 Departmental Plan. Looking ahead, OSFI’s 2024-2027 Strategic Plan outlines six...
The Ontario Securities Commission (OSC) has released a consultation paper proposing the creation of a new type of investment fund category, the Ontario Long-Term Asset Fund (OLTF), to expand retail investor access to illiquid long-term assets, such as infrastructure...
The Canadian Investment Regulatory Organization (CIRO) is proposing amendments to the client reporting requirements in CIRO Rules. The proposals aim to harmonize its cost reporting rules with the Canadian Securities Administrators (CSA) new total cost reporting rules....
The Ontario Securities Commission (OSC) has published a new report, Gamification Revisited: New Experimental Findings in Retail Investing that studied the impact of gamification on investors. The OSC also launched a new tool, GetSmarterAboutTrading.ca, allowing users...
