Sep 24, 2024 | News
CIRO’s webcast provides an overview of the conflicts of interest (COI) requirements in the Client Focused Reforms (CFR) that came into force on June 30, 2021. The webcast summarizes the joint regulatory sweep conducted by the Canadian Securities Administrators...
Sep 23, 2024 | News
In keeping pace with the U.S. market reforms, the Canadian Investment Regulatory Organization (CIRO) and the Canadian Securities Administrators (CSA) have initiated a process to evaluate their potential impact on the Canadian equity market structure following the...
Sep 20, 2024 | News
The Canadian Securities Administrators (CSA) have released a series of proposed amendments for public comment, aimed to improve reporting to investors while also easing the regulatory burden on the industry. The focus is to improve the quality of information provided...
Sep 19, 2024 | News
The Canadian Investment Regulatory Organization (CIRO) has just published its second annual report, Annual Report for 2023-2024, along with its inaugural Investor Advisory Panel (IAP) Annual Report, highlighting the achievements and strategic initiatives for 2023-24....
Sep 16, 2024 | News
The FP Canada Standards Council Conduct Review Panel (CRP) has published practice guidance for Certified Financial Planner (CFP) professionals and Qualified Associate Financial Planner (QAFP) professionals. The guidance addresses the responsibilities of CFP and QAFP...
Sep 13, 2024 | News
The Canadian Investment Regulatory Organization’s (CIRO) has determined it will not proceed with proposals to allow mutual fund dealers the ability to offer discretionary accounts, managed accounts and order-execution-only accounts, as part of the rulebook...
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