The Canadian Securities Administrators (CSA) recently released two reports on the oversight of the Canadian Investment Regulatory Organization (CIRO) and the Canadian Investor Protection Fund (CIPF). The Oversight Review Report of CIRO and the 2023 Annual Activities...
The Financial Services Regulatory Authority of Ontario (FSRA) reported the results of its first oversight reviews of the approved credentialing bodies that administer the credentials that qualify industry reps to use the financial advisor and planner titles in...
CIRO announced the availability of a new CIRO Complaints Brochure, branded “How to Make a Complaint” that replaces both the IIROC Complaint Brochures and the MFDA CCIF. CIRO Investment dealer members and mutual fund dealer members may now begin providing the CIRO...
Ontario’s Financial Services Regulatory Authority (FSRA) has endorsed the Chartered Financial Planner designation offered by The Canadian Institute of Financial Planning (CIFP) as a qualified credential for individuals using the Financial Planner title in...
The Alberta Securities Commission (ASC) and the Financial and Consumer Affairs Authority of Saskatchewan (FCAA) adopted a prospectus exemption that allow investors who do not meet the financial thresholds, to qualify as accredited investors based on their financial...
The Canadian Investor Protection Fund (CIPF) has implemented amendments to the CIPF Investment Dealer Assessment Policy and CIPF Investment Dealer Assessment Appeal Procedures. The changes introduce the new CIPF Mutual Fund Dealer Introduced Assessment (MFD IAA) fee...
