CIRO is amending Part II of the Mutual Fund Dealer Form 1. The objectives of the Housekeeping Amendments are to ensure Part II Report on Compliance, complies with current auditing standards. The Housekeeping Amendments were approved by the Recognizing Regulators on...
According to the latest data in the 2022 – 2023 Enforcement Report from CIRO, investor complaints are soaring. In its first enforcement report, the newly-merged self-regulatory organization detailed a sharp rise in complaints in both its investment dealer and mutual...
Legislative revisions proposed by the Ontario government, seek to cut Ontario Securities Commission (OSC) and Financial Services Regulatory Authority of Ontario (FSRA) regulatory policy proposals minimum comment periods, from 90 days to 60 days. The proposed...
CIRO is publishing Phase 1 of its Rule Consolidation Project rule proposals for comment. The Project will harmonize the two-member regulation rule sets into one set of member regulation rules, applicable to both categories of CIRO Dealer Members. The proposals are out...
CIRO announced the availability of a revised Membership Disclosure, reflecting new content relevant to both investment dealers and mutual fund dealers. Investment dealers must transition to the CIRO Official Brochure by December 31, 2024. There is currently no...
Investment Executive’s 2023 Advisors’ Report Card found that advisors across the brokerage, dealer and retail bank channels appreciate the value their compliance departments bring. Significant changes to industry regulation, has meant increasing pressure for...
