Oct 31, 2023 | News
The Mutual Fund Dealer CE Program will be ending on November 30, 2023. Program Administrators can access the Compliance Status section of the CERTS dashboard to view and export reports on the progress of Participants, to identify and follow-up with Participants who...
Oct 27, 2023 | News
CIRO Staff conducted a review of accreditation of continuing education (CE) activities recognized under the Mutual Fund Dealer (MFD) CE program. Administrative Bulletin 23-0159, outlines some of the best practices that were noted. Accreditors are encouraged to review...
Oct 26, 2023 | News
CIRO is amending Part II of the Mutual Fund Dealer Form 1. The objectives of the Housekeeping Amendments are to ensure Part II Report on Compliance, complies with current auditing standards. The Housekeeping Amendments were approved by the Recognizing Regulators on...
Oct 26, 2023 | News
According to the latest data in the 2022 – 2023 Enforcement Report from CIRO, investor complaints are soaring. In its first enforcement report, the newly-merged self-regulatory organization detailed a sharp rise in complaints in both its investment dealer and mutual...
Oct 23, 2023 | News
Legislative revisions proposed by the Ontario government, seek to cut Ontario Securities Commission (OSC) and Financial Services Regulatory Authority of Ontario (FSRA) regulatory policy proposals minimum comment periods, from 90 days to 60 days. The proposed...
Oct 20, 2023 | News
CIRO is publishing Phase 1 of its Rule Consolidation Project rule proposals for comment. The Project will harmonize the two-member regulation rule sets into one set of member regulation rules, applicable to both categories of CIRO Dealer Members. The proposals are out...
Translate »
