Nov 2, 2023 | News
The CFA Institute, the Global Sustainable Investment Alliance (GSIA) and Principles for Responsible Investment (PRI) have developed a new resource to define five common terms used in responsible investing. The new resource comes as regulators around the world develop...
Nov 1, 2023 | News
The Office of the Superintendent of Financial Institutions (OSFI) is raising liquidity requirements for high-interest savings account (HISA) ETFs. OSFI said that banks holding deposits for HISA funds will have to hold sufficient high-quality liquid assets, that can be...
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...
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