CIRO Disgorgement – Proposed Amendments to the MFD Rules

CIRO is proposing amendments to the MFD Rules to explicitly include disgorgement provisions, aligning them with existing ID rules. This harmonization will support CIRO’s planned disgorgement distribution program in 2026. Comments are due by September 22, 2025, during...

OBSI announces five new commitments in loss-calculation approach

The Ombudsman for Banking Services and Investments (OBSI) has announced five new commitments to improve how it calculates investor losses from unsuitable sales of illiquid exempt market securities. OBSI aims to make its loss calculation methods clearer, stronger, and...

CSA release 2024-2025 Year in Review

The Canadian Securities Administrators (CSA) has released its annual Year in Review report, showcasing its ongoing efforts to promote innovation in capital markets while safeguarding investors. Over the past year, the CSA issued 1,011 investor alerts, cautions, and...

Fitch Learning acquires Moody’s Analytics and CSI

Fitch Learning announced that it has acquired the Canadian Securities Institute (CSI) and Moody’s Analytics Learning Solutions, expanding its global financial training portfolio. The terms were not disclosed. The deal is expected to close in Q4 2025, pending...

CIRO Proposes New Guidance for OEO Dealers

The Canadian Investment Regulatory Organization (CIRO) is proposing new guidance allowing order execution only (OEO) dealers to share more information and tools with do-it-yourself investors. The guidance aims to curb reliance on unregulated sources like social media...
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