news and outreach

CIRO’s IAP issues Annual Report

The Canadian Investment Regulatory Organization’s (CIRO) Investor Advisory Panel, (IAP) published its 2024-2025 Annual Report highlighting its work on behalf of Canadian investors and CIRO. Composed of experts from across Canada, the IAP advises CIRO on regulatory policy, priorities, strategic plans, and other initiatives.

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CIRO releases Annual Report for fiscal year 2025

The Canadian Investment Regulatory Organization (CIRO) released its 2025 Annual Report, highlighting progress on integration and its three-year Strategic Plan. Highlights include: new enforcement powers granted in Ontario, Québec passing Bill 92, transferring more powers to CIRO and improving industry harmonization.

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CSA extends comment period for OBSI consultation

The Canadian Securities Administrators (CSA) have extended the deadline for submitting feedback on a consultation regarding the introduction of binding authority at the Ombudsman for Banking Services and Investments (OBSI). Allowing an additional two weeks for input, the new deadline for comments, is September 29, 2025.

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OSC’s New Disgorgement Framework Permits Investors to Recover Losses

The Ontario Securities Commission’s (OSC) final rules, establishing a framework to allow the OSC to distribute funds obtained through disgorgement orders to affected investors, came into effect on September 1, 2025. These new rules come as the OSC is increasingly relying on disgorgement for Ontario Securities Act violations.

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CIRO Disgorgement – Proposed Amendments to the MFD Rules

CIRO is proposing amendments to the MFD Rules to explicitly include disgorgement provisions, aligning them with existing ID rules. This harmonization will support CIRO’s planned disgorgement distribution program in 2026. Comments are due by September 22, 2025, during the 30-day consultation.

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OBSI announces five new commitments in loss-calculation approach

The Ombudsman for Banking Services and Investments (OBSI) has announced five new commitments to improve how it calculates investor losses from unsuitable sales of illiquid exempt market securities. OBSI aims to make its loss calculation methods clearer, stronger, and more responsive to market changes.

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CSA release 2024-2025 Year in Review

The Canadian Securities Administrators (CSA) has released its annual Year in Review report, showcasing its ongoing efforts to promote innovation in capital markets while safeguarding investors. Over the past year, the CSA issued 1,011 investor alerts, cautions, and warnings—more than 75% of which were related to crypto assets.

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Fitch Learning acquires Moody’s Analytics and CSI

Fitch Learning announced that it has acquired the Canadian Securities Institute (CSI) and Moody’s Analytics Learning Solutions, expanding its global financial training portfolio. The terms were not disclosed. The deal is expected to close in Q4 2025, pending regulatory approval.

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CIRO Proposes New Guidance for OEO Dealers

The Canadian Investment Regulatory Organization (CIRO) is proposing new guidance allowing order execution only (OEO) dealers to share more information and tools with do-it-yourself investors. The guidance aims to curb reliance on unregulated sources like social media and finfluencers. The proposed guidance is open for comment until November 10, 2025.

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The information contained on the Association of Canadian Compliance Professionals (“ACCP”) website is for general information purposes only and is the opinion of the writer(s). This information is not intended to provide specific personalized advice including, without limitation, investment, financial, legal, accounting or tax advice. We strongly recommend that you seek appropriate, qualified professional advice before acting or omitting to act based on any information provided on the ACCP website.

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