CIRO posted the Monthly Financial Report (MFR) filing deadlines for 2024. The dates are based on a 20-business day reporting cycle, taking into consideration Canadian and Provincial statutory holidays. Delays in the SIRFF electronic filing will trigger a late filing...
The CSA and CIRO added to their warning about referencing or participating in awards based on sales, assets under management or revenue generation, during client-facing interactions. The CSA and CIRO updated their frequently asked questions document, which now lists...
According to a follow-up report from the Office of the Auditor General of Ontario, (OAG) the Ontario Securities Commission (OSC) and the provincial government have taken action on most of the recommendations from a recent audit. Some key items, such as adopting...
The Investment Funds Institute of Canada’s (IFIC) recent annual leadership conference in Toronto, hosted an international regulations panel featuring industry leaders from Canada, the UK and the US. The panel discussed the similar challenges and regulatory...
The Canadian Securities Administrators (CSA) has sent out a notice to seek general feedback on a proposed regulatory framework set out for an independent dispute resolution, bringing forward a binding regime for investment-related disputes. The period provided for...
The government in Saskatchewan introduced a bill that aims to boost investor protection, by sharply increasing the maximum penalty for securities violations from $100,000 to $1 million. The proposed legislation aims to enhance regulatory enforcement powers and enable...
