Tag: IIROC
Aug 27, 2024 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
On July 4, 2024, the Canadian Investment Regulatory Organization (CIRO) published for comment Rule Amendments which include significant changes to the proficiencies required for every registered position in an investment dealer. Fundamentally, the proposed changes...
Mar 28, 2024 | Canadian Investment Regulatory Organization (CIRO), Client-Focused Reforms (CFRs), Cyber-security and Data Privacy, Investment Funds, Regulatory Compliance
On March 13, 2024, the Canadian Investment Regulatory Organization (CIRO) released its compliance priorities for the year. There is much in the document for CIRO members to note. Dealers need to pay special attention to the emphasis on compliance with the Client...
Nov 30, 2023 | Featured
In this bulletin: Rate your Priorities – OSC Releases Draft Statement of Priorities The Digital Transformation: OSC Report on Artificial Intelligence in Capital Markets Reporting Transparency on Air: Report on OBSI Oversight From Script to Screen: CIRO Releases...
Nov 30, 2023 | Canadian Investment Regulatory Organization (CIRO), Corporate Finance, Corporate Law, Economic Sanctions, Investment Funds, Regulatory Compliance
On October 12, 2023, the Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) published Staff Notice 31-364 (the Notice) containing their Annual Report (Report) of the Joint Regulators Committee (JRC) which oversees the...
Nov 30, 2023 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
The Canadian Investment Regulatory Organization (CIRO) and the Canadian Securities Administrators (CSA) recently released Staff Notice 23-332 Summary of Comments and Responses to CSA/IIROC Staff Notice 23-329 Short Selling in Canada (the Staff Notice). The Staff...
Sep 29, 2023 | Featured
In this bulletin: Compliance Café – OSC Staff Summary Report for Investment Fund and Structured Product Issuers Brewing Compliance Trends: Joint CSA and CIRO Review of Registrants’ Conflicts of Interest Practices CSA Year in Review; Fall’s Well that Ends Well In...
Sep 28, 2023 | Client-Focused Reforms (CFRs), Cyber-security and Data Privacy, Investment Funds, Regulatory Compliance
This month, the Canadian Securities Administrators (CSA) released its ‘Year in Review’ which summarizes the activities of the provincial and territorial regulators over the past year (July 1, 2022 – June 30, 2023) (the Report). The Report outlines the CSA’s strategic...
Aug 31, 2023 | Featured
In this bulletin: In the Dog House – Misleading Communications and Advisor Ranking Contests Summer Supervision: FSRA’s Plan for Credentialing Bodies Like a Cloudless August Sky, Ministry of Finance Quietly Proposes New Authorized Purposes for Enforcement Money...
Jul 31, 2023 | Featured
In this bulletin: A Visit from Old Friends – OSC Releases Annual Summary Report for Dealers, Advisers and Investment Fund Managers Learning Something New – CIRO’s Proposed New Proficiency Model A Trip Around Alberta – ASC Releases 2023 Annual Report Never a Dull...
Jul 31, 2023 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
The Canadian Investment Regulatory Organization (CIRO) has released a consultation paper that should be reviewed by every dealer member of the self-regulatory organization. CIRO’s proposed new proficiency model represents a significant change from current requirements...
Jul 31, 2023 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
On July 13, the Canadian Investment Regulatory Organization (CIRO) released for the third time proposed amendments to modernize and simplify its derivatives related requirements. One of CIRO’s predecessor organizations, IIROC, initially published proposed amendments...
Jun 30, 2023 | Featured
In this bulletin: FSRA Consults Further on the UDAP Rule and Impactful Fee Choices Federal Review of AML Regime with Global Implications CIRO’s Annual Priorities Released: Star Map Set for the New Regulator In Brief: CSA Launches TCR Implementation Committee ▪ CSA...
Jun 30, 2023 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
Effective January 1, 2023, the New Self-Regulatory Organization of Canada (New SRO) – the amalgamated self-regulatory body formed from the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) – launched...
Apr 28, 2023 | Featured
In this bulletin: Better Days Ahead: Proposed Amendments Regarding Diversity Disclosure AMPed for Spring: FSRA Proposes Guidance on Administrative Monetary Penalties FSRA Proposes Guidance to Cut Down Mortgage Fraud Three more Sakura Seasons, then Total Cost Reporting...
Apr 28, 2023 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
As of January 1, 2023, the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) came together as the New Self-Regulatory Organization of Canada (New SRO). The newly amalgamated organization advised that...
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