Jun 26, 2026 | News
The Canadian Investor Protection Fund (CIPF) released its 2025 Annual Report, which is guided by the organization’s 2025-2027 Strategic Plan. The report outlines meaningful progress in protecting investors and supporting confidence in Canada’s capital...
Jun 25, 2026 | News
The Canadian Investment Regulatory Organization (CIRO) has updated its Fit and Proper Test guidance to reflect expanded delegation functions for investment dealers, mutual fund dealers, and associated individuals. The assessment evaluates registration suitability...
Jun 25, 2026 | News
Approved Persons and former Approved Persons affiliated with CIRO Dealer Members, can obtain their registration records by submitting a Registration Record Request Form to CIRO Registration Staff. Individuals may also authorize direct delivery of their records to a...
Jun 17, 2026 | News
The Canadian Investment Regulatory Organization (CIRO) has updated its guidance for mutual fund dealers, removing the requirement to separately notify CIRO of changes to trade, business, or style names. Since CIRO has accessed this information directly through the NRD...
Jun 11, 2026 | News
The Canadian Securities Administrators (CSA) announced final rule changes, requiring fund dealers to act as principal distributors only for funds within the same fund family. The changes aim to prevent the practice from expanding. Some provisions take effect October...
Jun 9, 2026 | News
The Financial Services Regulatory Authority of Ontario (FSRA) released its Operational Risk and Resilience Guidance for Ontario insurers and reciprocal insurance exchanges. The guidance raises supervisory expectations for cyber risk, third-party dependencies, data...
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