Dec 20, 2024 | News
The Canadian Investment Regulatory Organization (CIRO) is proposing rule changes, to harmonize the two continuing education (CE) requirements currently under the Investment Dealer Partial Consolidated (IDPC) Rules and the Mutual Fund Dealer (MFD) Rules. CIRO is taking...
Dec 19, 2024 | News
The Financial Services Regulatory Authority of Ontario (FSRA) released their Market Conduct: Life and Health Insurance Agent Supervision Report. Reviews of life agents in Ontario, have uncovered a high incidence of failure to adhere to best business practices. Common...
Dec 11, 2024 | News
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...
Dec 8, 2024 | News
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!
Dec 5, 2024 | News
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...
Nov 29, 2024 | News
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...
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