Jul 17, 2024 | News
The Canadian Investment Regulatory Organization (CIRO) released its 2023-2024 Enforcement Report. The report emphasizes CIRO’s efforts to protect investors, enhance standards, and strengthen market integrity through fair, timely, and effective enforcement...
Jul 12, 2024 | News
The Ontario Securities Commission (OSC) is seeking feedback on a proposed new process for routine distribution of disgorged funds collected in enforcement proceedings, to investors who suffered losses as a direct result of securities misconduct. Submit all comments in...
Jul 8, 2024 | News
The Canadian Investment Regulatory Organization (CIRO) published proposed amendments to its proficiency rules for investment dealer Approved Persons. CIRO is planning a shift to an exam-based approach to industry proficiency, along with mandatory conduct/ethics...
Jul 5, 2024 | News
In August 2023, the Canadian Securities Administrators (CSA) began examining Exchange Traded Funds (ETF) regulation, to assess the adequacy of the existing regime. ETFs make up around 15% of total public investment fund assets across Canada today. The CSA expects to...
Jul 4, 2024 | News
The Canadian Securities Administrators (CSA) and the Canadian Council of Insurance Regulators (CCIR) jointly published enhanced total cost reporting (TCR) requirements for investment funds and segregated funds. Final amendments were published to National Instrument...
Jun 28, 2024 | News
The Canadian Investor Protection Fund (CIPF) 2023 Annual Report has been posted to the CIPF’s website. The report lists the CIPF’s top 6 priorities in 2024, which include: 3-year strategic planning and enhancing insolvency readiness for dealers. The CIPF also...
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