Dec 21, 2023 | News
CIRO has published new harmonized Sanction Guidelines, which takes effect February 1, 2024, replacing all previous Sanction Guidelines of both IIROC and the MFDA. CIRO has also introduced Enforcement Staff Policy Statements to encourage early resolution of cases and...
Dec 15, 2023 | News
The European Securities and Markets Authority (ESMA) announced the launch of a compliance review that will target benchmark administrators as part of the ongoing fight against greenwashing. The review will cover the disclosure of ESG factors and specific disclosure...
Dec 15, 2023 | News
The European Securities and Markets Authority (ESMA) says that retail investment firms need policies in place to ensure their use of social media, finfluencers and gamification techniques comply with their regulatory obligations. The paper examines online marketing...
Dec 14, 2023 | News
CIRO posted the Monthly Financial Report (MFR) filing deadlines for 2024. The dates are based on a 20-business day reporting cycle, taking into consideration Canadian and Provincial statutory holidays. Delays in the SIRFF electronic filing will trigger a late filing...
Dec 11, 2023 | News
The CSA and CIRO added to their warning about referencing or participating in awards based on sales, assets under management or revenue generation, during client-facing interactions. The CSA and CIRO updated their frequently asked questions document, which now lists...
Dec 7, 2023 | News
According to a follow-up report from the Office of the Auditor General of Ontario, (OAG) the Ontario Securities Commission (OSC) and the provincial government have taken action on most of the recommendations from a recent audit. Some key items, such as adopting...
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