May 14, 2024 | News
CIRO has released a new webcast highlighting the CIRO Compliance Priorities Report for 2024. The webcast covers topics such as Client Focused Reforms, upcoming changes to the compliance program, cybersecurity, along with many other topics. Investment Dealer webcast...
May 13, 2024 | News
To reduce market inefficiencies, Canadian and U.S. securities markets are moving to a standard trade settlement cycle of T+1 for investments that currently settle on a T+2 basis. According to a new report from Moody’s Ratings, the move to a T+1 settlement cycle in...
May 6, 2024 | News
The Ontario Securities Commission (OSC) released their Strategic plan, identifying the OSC’s central goals for 2024 to 2030. The Strategic Plan highlights a shift in the OSC’s approach to retail investors. It also includes tougher, more visible enforcement, increased...
Apr 26, 2024 | News
CIRO is seeking feedback on its proposed new approach to its fee model. Fund dealer fees are currently calculated based on assets under administration (AUA). Under the proposed integrated fee model, fund dealer fees would be calculated based on both the size of their...
Apr 25, 2024 | News
The Canadian Securities Administrators (CSA) has released two research reports examining the investment fund industry and investor behaviour post-implementation of the Client Relationship Model Phase 2 (CRM2) Amendments. The research reports look at trends in...
Apr 19, 2024 | News
CIRO is publishing Phase 3 of its Rule Consolidation Project rule proposals, for comment. The Phase 3 Proposed Rules involve the adoption of rules relating to membership and member business activity approval, clearing and settlement of trades and trade delivery...
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