Feb 28, 2024 | News
The Autorité des marchés financiers (AMF) has issued rules to establish a common set of processes and timelines when dealing with client complaints. The Canadian Investment Regulatory Organization (CIRO) Investment dealer members and mutual fund dealer members will be...
Feb 21, 2024 | News
CIRO conducted two cybersecurity table-top exercises in 2023, for small and medium-sized member firms. Following the exercise, CIRO has published a Ransomware Response Playbook, for dealing with ransomware attacks. The report sketches out a framework outlining the...
Feb 15, 2024 | News
The Canadian Investment Regulatory Organization (CIRO) is harmonizing rules for mutual fund and investment dealers and aiming to establish the structure for a new harmonized rule book. CIRO is facing push back on proposals allowing fund dealers to offer...
Feb 12, 2024 | News
Ontario’s financial services regulator, the Financial Services Regulatory Authority (FSRA), has introduced a significant second amendment to the Unfair or Deceptive Acts or Practices (UDAP) Rule. The amendment’s objective is to offer stronger protection...
Feb 8, 2024 | News
The Financial Services Regulatory Authority of Ontario (FSRA) is tightening test-taking procedures, in the wake of reports of exam cheating. The new test procedures will align with national best practices. FSRA will also introduce tougher consequences for individuals...
Jan 25, 2024 | News
CIRO issued a Position Paper which analyses policy options for leveling the compensation playing field between Approved Persons. The current CIRO rules applicable to mutual fund dealers and investment dealers currently take different approaches to directed commission...
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