The Canadian Investment Regulatory Organization (CIRO) is proposing new guidance allowing order execution only (OEO) dealers to share more information and tools with do-it-yourself investors. The guidance aims to curb reliance on unregulated sources like social media...
The Canadian Investment Regulatory Organization (CIRO), has announced that effective August 8, 2025, Quali-T HR Services and Solutions will handle criminal background checks for candidates residing in Quebec, and applying for securities registration. SEE...
The Ontario Securities Commission’s Registration (OSC) Inspections and Examinations Division, (RIE) has announced its 2025 priorities. Key focus areas include artificial intelligence, (AI) cybersecurity, sales practices at financial institutions, and know-your-product...
To support its shift from a course-centric model to an assessment-centric model, the Canadian Investment Regulatory Organization (CIRO) is publishing more syllabi and practice exams, designed to help education providers develop preparatory courses and to support...
The Canadian Securities Administrators (CSA) is seeking public comment on enhanced details of its proposed framework for an independent dispute resolution service, giving the Ombudsman for Banking Services and Investments (OBSI) binding authority in disputes between...
The Canadian Investment Regulatory Organization (CIRO) has released, for public comment, a set of proposed rule amendments aimed at modernizing requirements related to account transfers. The amendments aim to improve the efficiency, transparency, and consistency of...
