Insights
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Bulletin | Poetic Perspectives Edition | April 2024
Regulatory compliance involves simplifying lengthy, complex regulatory developments into bite sized pieces. Here is our latest bulletin.
AUM – Two-Year AML/ATF Effectiveness Review
Securities dealers are subject to Canada’s anti-money laundering (AML) and anti-terrorist financing (ATF) laws. Dealers must identify...
AUM – Training
CIRO member dealers are required to provide ongoing training to their Approved Persons concerning securities regulatory requirements,...
AUM – General Service
Dealer compliance departments are always busy and stressed. We can help when you are having difficulty finding the necessary time to...
Polar Precision: CIRO’s Proposals on Directed Commissions
Introduction On January 25, 2024 the Canadian Investment Regulatory Organization (CIRO) published its long-awaited Position Paper on the...
FSRA’s Proposed Approach for Vulnerable Consumers to Weather Financial Storms
On January 8, 2024, the Financial Services Regulatory Authority of Ontario (FSRA) launched a public consultation (the Consultation) on a...
CIRO Continues Rule Consolidation Project in Phase 2
On January 11, 2024, the Canadian Investment Regulatory Organization (CIRO) published for comment Phase 2 of the Rule Consolidation...
Snowballing Toward Retirement Survey Results
On January 10, 2024, the Ontario Securities Commission, in partnership with Ipsos, released the results of a survey of Canadians 50 years...
CSA Finalizes Access Model for Non-Investment Fund Prospectuses
On January 11, 2024, the CSA published final rules to permit issuers (other than investment fund issuers, i.e. corporate finance issuers)...
CIRO Seeks Comments on Two Short Selling Proposals
Earlier this month, the Canadian Investment Regulatory Organization (CIRO) released proposed amendments to the Universal Market Integrity...
FCSC Proposes New Rules Relating to Title Protection
Following a similar process as in Ontario and Saskatchewan (which you can read about here), earlier this month the New Brunswick Financial...
CIRO Approved as a Credentialing Body
The Canadian Investment Regulatory Organization (CIRO) was recently approved by the Financial Services Regulatory Authority of Ontario...
A Tale of Chilled Regulations: CSA Updates Expectations on Advisor Awards
Staff of the Canadian Securities Administrators (the CSA) and the Canadian Investment Regulatory Organization (CIRO) recently published an...
Proposed Changes for Binding Independent Dispute Resolution Service
In late November, the Canadian Securities Administrators (the CSA) published a Request for Comment proposing amendments to certain...
Snow and Settling – CSA Finalizes Changes to Trade Matching Rule
Earlier this month, the Canadian Securities Administrators (CSA) finalized amendments to National Instrument 24-101 Institutional Trade...
CSA Releases Results of Frosty Annual Systemic Risk Survey
The Systemic Risk Committee of the Canadian Securities Administrators recently released results from its second annual systemic risk...