Jan 9, 2024 | News
The Financial Services Regulatory Authority of Ontario (FSRA) is proceeding with a rule change on the use of deferred sales charges (DSCs) for investors with existing segregated fund contracts. The rule amendment requires insurers to remove the DSC option for deposits...
Dec 29, 2023 | News
The Stephanie McManus Award was presented to Joanne Attridge, for her outstanding contributions to the ACCP in 2023. The award was renamed to honour the memory of long time ACCP member and former ACCP Chair, Stephanie McManus. Congratulations, Joanne!
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...
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