Apr 8, 2024 | News
On December 31, 2021, the Canadian Securities Administration (CSA) passed regulations (National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations “Client Focused Reforms”, (CFRs) based on the principle that in the...
Apr 8, 2024 | News
The Canada Revenue Agency (CRA) published its new administrative positions on compliance obligations of financial institutions (FI) under Canada’s Income Tax Act. Changes to the Foreign Account Tax Compliance Act (FATCA) Guidance and the Guidance on the Common...
Apr 5, 2024 | News
CIRO has published Office of the Investor Fiscal Year in Review. A key priority outlined in CIRO’s first Annual Report is the promotion of the investor perspective through the Office of the Investor. The Office’s mission is to understand and inform investors,...
Apr 1, 2024 | News
The Canadian Securities Administrators (CSA) recently released two reports on the oversight of the Canadian Investment Regulatory Organization (CIRO) and the Canadian Investor Protection Fund (CIPF). The Oversight Review Report of CIRO and the 2023 Annual Activities...
Mar 28, 2024 | News
The Financial Services Regulatory Authority of Ontario (FSRA) reported the results of its first oversight reviews of the approved credentialing bodies that administer the credentials that qualify industry reps to use the financial advisor and planner titles in...
Mar 27, 2024 | News
CIRO announced the availability of a new CIRO Complaints Brochure, branded “How to Make a Complaint” that replaces both the IIROC Complaint Brochures and the MFDA CCIF. CIRO Investment dealer members and mutual fund dealer members may now begin providing the CIRO...
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