The Canadian Investment Regulatory Organization (CIRO) has proposed its final reforms to introduce a unified continuing education (CE) framework for fund and investment dealer representatives, aiming to strengthen industry proficiency standards. Public comments are open until July 15, 2026. The harmonized CE program is set to take effect on January 1, 2028.

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The Canadian Investment Regulatory Organization (CIRO) has released its Annual Priorities for fiscal year 2027 (April 1, 2026–March 31, 2027), outlining key actions aimed at strengthening investor protection, improving market integrity, and reinforcing confidence in Canada’s capital markets.

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Effective April 1, 2026, CIRO gained expanded registration authority for mutual fund dealers and their representatives in British Columbia. This delegation, granted by the British Columbia Securities Commission, marks the final step in achieving nationwide registration harmonization.

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The Alberta Securities Commission (ASC) and the Canadian Investment Regulatory Organization (CIRO) will coordinate fees for one year ,to keep 2026 registration costs unchanged for Alberta-based investment professionals, offsetting a planned increase to maintain overall fee neutrality for affected registrants.

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The Ontario Securities Commission (OSC) is exploring plans to modernize its regulatory framework by introducing machine-readable rules. The proposal would convert existing regulations from formats like PDF and HTML into computer-friendly formats. According to the OSC, the move aims to simplify compliance.

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Effective April 1, 2026, the Canadian Investment Regulatory Organization (CIRO) has partnered with Mintz Global Screening to carry out background checks for individual registration applications. Mintz Global Screening will conduct checks across Canada, the United States, and internationally for these filings.

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The Canadian Investment Regulatory Organization (CIRO) has introduced a new Document Production Guide to help dealers preserve data integrity, reduce delays from resubmissions, and improve investigation efficiency through faster evidence review and analysis. The Guide takes effect on May 1, 2026.

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Canadian Investment Regulatory Organization (CIRO) will launch its Disgorgement Distribution Program and will return funds collected through enforcement actions to affected investors. The program aims to strengthen investor protection by ensuring that penalties for misconduct also compensate victims. It takes effect on April 1, 2026.

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The Canadian Investment Regulatory Organization (CIRO) is updating section 7.4.1 of the Mutual Fund Dealer (MFD) Rules to explicitly allow for disgorgement, aligning the MFD Rules with the Investment Dealer and Partially Consolidated (IDPC) Rules (the “Amendments”). These Amendments will take effect on April 1, 2026.

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The Financial Services Regulatory Authority of Ontario (FSRA) is reminding individuals who use the Financial Planner title, or similar designations, to review Ontario’s title protection requirements and ensure they hold an approved credential before the March 28, 2026 transition deadline.

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