Feb 29, 2024 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
In mid-February, the Canadian Investment Regulatory Organization (CIRO) released proposed amendments to the Investment Dealer and Partially Consolidated (IDPC) Rules and IDPC Form 1 with respect to fully paid securities lending and financing arrangements. These...
Aug 31, 2023 | Anti-Money Laundering, Canadian Investment Regulatory Organization (CIRO), Regulatory Compliance
On August 16, the Canadian Investment Regulatory Organization (CIRO) released updated guidance relating to anti-money laundering in GN-3200-23-001 (Guidance Note). The updates to the previous guidance reflect changes in Canada’s anti-money laundering and...
