CIRO is publishing proposed amendments to refine and clarify the registration and proficiency requirements in the Investment Dealer and Partially Consolidated Rules. The CIRO Notice notes comments on the Proposed Amendments should be in writing and delivered by...
A reminder, that the Saskatchewan Advantage Grant for Education Savings (SAGES) program is being wound down. SAGES grants will continue to be paid out as Educational Assistance Payments to eligible beneficiaries enrolled in qualifying educational programs. READ...
CIRO released their 2024 Annual Priorities on June 1, 2023. The Annual Priorities summarizes current regulatory changes and issues that CIRO-regulated firms should focus on. The themes of the Annual Priorities encompass continuing to develop the CIRO brand, promoting...
According to new data from LexisNexis Risk Solutions, the Canadian financial services industry is seeing a surge in cybercrime and fraud. The report found that Canadian financial services organizations are among the biggest targets. Particularly vulnerable areas...
In a recently published joint Staff Notice, setting out the results of their regulatory reviews of industry compliance with conflict-of-interest provisions, the Canadian Securities Administrators (CSA) and CIRO indicated that only about one-fifth of the firms they...
Regulators say advisor awards based on production may mislead clients. The CSA and CIRO called on firms and registrants, to remove references to award or recognition, in marketing and client communications, including on webpages or LinkedIn profiles. READ...
