The Ontario Securities Commission’s Registration (OSC) Inspections and Examinations Division, (RIE) has announced its 2025 priorities. Key focus areas include artificial intelligence, (AI) cybersecurity, sales practices at financial institutions, and know-your-product...
To support its shift from a course-centric model to an assessment-centric model, the Canadian Investment Regulatory Organization (CIRO) is publishing more syllabi and practice exams, designed to help education providers develop preparatory courses and to support...
The Canadian Securities Administrators (CSA) is seeking public comment on enhanced details of its proposed framework for an independent dispute resolution service, giving the Ombudsman for Banking Services and Investments (OBSI) binding authority in disputes between...
The Canadian Investment Regulatory Organization (CIRO) has released, for public comment, a set of proposed rule amendments aimed at modernizing requirements related to account transfers. The amendments aim to improve the efficiency, transparency, and consistency of...
The Canadian Investment Regulatory Organization (CIRO) has introduced a new protocol to better align Canadian depositary receipts (CDRs) and single-stock Exchange-Traded Funds (ETFs) trading halts in Canada, with those in the U.S. listed on U.S. exchanges. CIRO will...
Effective July 1, 2025, the Financial Services Regulatory Authority of Ontario (FSRA) has implemented a new licensing process for out-of-province insurance advisors, allowing them to begin working in Ontario almost immediately after submitting proof of a valid...
