Sep 28, 2023 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
National Instrument 81-104 Alternative Mutual Funds (NI 81-104) has been repealed by all members of the Canadian Securities Administrators (CSA), except the Autorité des marchés financiers. Only Part 4 of NI 81-104 had been in force, and it dealt with proficiency...
Sep 28, 2023 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
In late August, the Canadian Investment Regulatory Organization (CIRO) released Bulletin 23-0096 Proposed Clarifying Amendments to Registration and Proficiency Requirements. The proposed amendments are intended to clarify the proficiency requirements following the...
Jun 30, 2020 | Regulatory Compliance
On June 10, the Canadian Securities Administrators (CSA) announced steps, effective immediately, to make it easier for advising representatives (ARs) of portfolio managers (PMs) to register as client relationship management (CRM) specialists. Until now, CSA members...
