Oct 31, 2024 | News
The Canadian Investment Regulatory Organization’s (CIRO) has proposed a set of proposed reforms to its investment dealer arbitration program and extending to the mutual fund dealer sector. The proposed changes would enhance the accessibility, efficiency and...
Oct 31, 2024 | News
The Ontario Securities Commission (OSC) has released findings from a study, which highlights the challenges faced by retail investors, in evaluating the ESG attributes of investment funds and how the lack of standardization in these ratings, impact investor decisions....
Oct 24, 2024 | News
The Financial Transactions and Reports Analysis Centre of Canada, (FINTRAC) has issued a special bulletin to warn banks and securities dealers about the risks of illicit activity involving legal professionals. FINTRAC lists activities such as the misuse of client or...
Oct 22, 2024 | News
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...
Oct 18, 2024 | News
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...
Oct 16, 2024 | News
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...
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