Oct 10, 2025 | News
The Canadian Investment Regulatory Organization (CIRO) is proposing an overhaul to its fee model ,to cover the added costs of assuming registration duties from provincial regulators. This change will mainly impact mutual fund dealers with large numbers of advisors....
Oct 6, 2025 | News
The Canadian Investment Regulatory Organization (CIRO) has revised its Complaints and Settlement Reporting System (ComSet) reporting rules effective November 1, 2025. Dealer Members must now attach supporting documents, when first entering or updating a report. The...
Oct 2, 2025 | News
The British Columbia Securities Commission’s (BCSC) 2024 review, flags 130 compliance issues at 19 firms, with KYC and suitability leading. Policies, conflicts, disclosure, marketing, and client reporting also ranked high, highlighting ongoing challenges for...
Sep 30, 2025 | News
Beginning October 1, the Canadian Investment Regulatory Organization (CIRO) will take on more responsibility for enhanced registration authority, for registering investment dealers, mutual fund dealers, and their representatives, in Manitoba and Saskatchewan. SEE...
Sep 25, 2025 | News
As part of efforts to expand access to investment opportunities, regulators in most provinces (except B.C. and Quebec) and the territories are seeking feedback on a proposed exemption. This new rule would allow companies to raise funds from knowledgeable investors who...
Sep 12, 2025 | News
In a move to address emerging artificial intelligence (AI) risks, the Office of the Superintendent of Financial Institutions (OSFI) has released updates to Guideline E-23, aimed at federally regulated financial institutions. The revised guideline, set to take effect...
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