Oct 20, 2023 | News
CIRO announced the availability of a revised Membership Disclosure, reflecting new content relevant to both investment dealers and mutual fund dealers. Investment dealers must transition to the CIRO Official Brochure by December 31, 2024. There is currently no...
Oct 19, 2023 | News
Investment Executive’s 2023 Advisors’ Report Card found that advisors across the brokerage, dealer and retail bank channels appreciate the value their compliance departments bring. Significant changes to industry regulation, has meant increasing pressure for...
Oct 17, 2023 | News
On October 23, 2023, the CIRO employee email domain name will change to @ciro.ca. Emails sent to @iiroc.ca, or @mfda.ca addresses, will be automatically forwarded to the appropriate @ciro.ca email address. The automatic forwarding feature will be recognized for one...
Oct 13, 2023 | News
The Ombudsman for Banking Services and Investments (OBSI) reported that investment-related complaints are up by more than 60% from last year’s numbers, which were already at a record high. As a result, the fees that firms pay to fund OBSI’s activities are also heading...
Oct 13, 2023 | News
OSFI issued two sets of draft guidance for public comment — a new Integrity and Security Guideline, which sets out OSFI’s expectations regarding the security and integrity of financial institutions, including protection against foreign interference and enhanced...
Oct 12, 2023 | News
The Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO), which comprise the Joint Regulators Committee (JRC) that oversees OBSI, published their latest Annual Report, detailing ongoing complaint trends and other...
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