Nov 8, 2025 | News
The Ontario Securities Commission (OSC) is increasing oversight of the exempt market by publishing a “non-delivery” list that identifies issuers who fail to submit required annual financial statements, and by conducting compliance examinations of Exempt Market Dealers...
Nov 6, 2025 | News
The Ontario Securities Commission’s (OSC) Investment Management Division Annual Report, is sharpening its regulatory focus, moving from broad oversight toward more targeted examinations of new asset types and fund structures. The report identifies three central...
Oct 30, 2025 | News
The Canadian Investment Regulatory Organization (CIRO) is seeking feedback from the Canada Revenue Agency, (CRA) to address a long-standing gap between Investment Dealer advisors and mutual fund dealer advisors. CIRO proposes a new registration category for advisor...
Oct 29, 2025 | News
The Canadian Investment Regulatory Organization (CIRO) is proposing to permit Investment Dealer advisors to receive compensation through personal corporations. The change aims to harmonize allowable compensation options for investment dealer and mutual fund dealer...
Oct 22, 2025 | News
The Canadian Investment Regulatory Organization (CIRO) has indefinitely paused its planned research on the retail investor landscape. The self-regulatory organization (SRO) had aimed to launch a 2027 project requiring dealers to provide data on retail clients through...
Oct 20, 2025 | News
The British Columbia Securities Commission (BCSC) is proposing aligning with other provincial regulators by transferring the responsibility for fund dealer registration to the Canadian Investment Regulatory Organization (CIRO). SEE MORE
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