Aug 16, 2023 | News
According to new data from LexisNexis Risk Solutions, the Canadian financial services industry is seeing a surge in cybercrime and fraud. The report found that Canadian financial services organizations are among the biggest targets. Particularly vulnerable areas...
Aug 8, 2023 | News
In a recently published joint Staff Notice, setting out the results of their regulatory reviews of industry compliance with conflict-of-interest provisions, the Canadian Securities Administrators (CSA) and CIRO indicated that only about one-fifth of the firms they...
Aug 4, 2023 | News
Regulators say advisor awards based on production may mislead clients. The CSA and CIRO called on firms and registrants, to remove references to award or recognition, in marketing and client communications, including on webpages or LinkedIn profiles. READ...
Aug 4, 2023 | News
Ciro will be undertaking a client research project for which they will request investment dealers and mutual fund dealers to provide detailed information on the investments held by their retail clients as at December 31, 2024. READ MORE
Jul 26, 2023 | News
CIRO published their Annual Priorities for fiscal 2024, on June 1, 2023. One of the priorities, is harmonizing CIRO’s regulatory approach, including consolidating the Investment Dealer and Mutual Fund Dealer rules. On June 30, 2023, CIRO published a Rule...
Jul 17, 2023 | News
The term ‘finfluencer’ refers to online influencers, marketing financial products and services. This use of social media poses risks, including influencers promoting products they don’t understand and targeting younger investors who trust the advice. The U.K.’s...
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