Nov 6, 2024 | News
The Ontario Securities Commission (OSC) released an annual Summary Report providing an overview of the activities of the Investment Management Division. Highlights include the OSC review of fund managers’ use of discretion in setting risk ratings and the analysis of...
Nov 1, 2024 | News
In its 2024 Fall Economic Statement, the Ontario government proposed the creation of a new licensing regime for life and health insurance intermediaries, such as managing general agents (MGAs). The government pledged new oversight aimed at enhancing consumer...
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...
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