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...
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...
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