Aug 7, 2024 | News
In a joint release, the Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) said crypto trading platforms, (CTPs) now need to comply with Canadian securities laws, by prioritizing their applications for registration as...
Aug 1, 2024 | News
The Canadian Investment Regulatory Organization (CIRO) will be launching a new harmonized risk questionnaire. Both mutual fund dealers and investment dealers, will soon be required to complete an Annual Risk Questionnaire (ARQ). The ARQ seeks to capture material...
Jul 30, 2024 | News
The Institute of Advanced Financial Planners, (IAFP) which oversees the registered financial planner (RFP) designation, has stated that it intends for members to “adopt a fiduciary standard when providing financial planning services to their clients.” The IAFP will be...
Jul 29, 2024 | News
The Ontario Securities Commission (OSC) published its annual Summary Report for Dealers, Advisers and Investment Fund Managers, which provides information to help registrants comply with requirements under Ontario securities law. The report discusses important matters...
Jul 26, 2024 | News
Bill C-59 introduces changes to the Competition Act. In line with international ESG disclosure standards, and the CSA Staff Notice 81-334, securities registrants should review, assess for misleading environmental benefit claims (i.e. greenwashing) and update offering...
Jul 26, 2024 | News
Ontario’s Finance ministry has launched a consultation on proposed changes to the set up and operation of managing general agencies, (MGAs). The changes aim to boost consumer protection and create minimum licensing standards for MGAs. The Financial Services Regulatory...
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