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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The Canadian Investment Regulatory Organization (CIRO) has updated its guidance on order execution-only (OEO) account services, replacing Guidance Note 3400-21-003. The revised rules introduce changes in response to the continued growth of do-it-yourself (DIY) investors and allow firms to provide broader tools, education, and risk alerts without crossing into investment advice.

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CRKhoury (CRK) is conducting an independent review of the mandates and operations of the Ombudsman for Banking Services and Investments. A dedicated review website has been launched to share information and updates. Stakeholders can submit feedback by April 3, 2026.

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The Financial Services Regulatory Authority of Ontario (FSRA) has paused its plan to finalize a rule creating a licensing regime for Life and Health Managing General Agents, originally scheduled to take effect on June 1, 2026. The Government of Ontario will announce the next steps later. FSRA also said it will continue engaging stakeholders as part of its consumer protection initiative.

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The Canadian Investment Regulatory Organization (CIRO) has released its Annual Compliance Report, highlighting emerging compliance challenges facing dealers and offering guidance on how to address them. The report helps firms strengthen supervision and risk management while meeting regulatory requirements in line with their individual business models.

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