CIRO

BCSC to join CIRO registration delegation BCSC to join CIRO registration delegation

Regulation

BCSC to join CIRO registration delegation

Move would give SRO full responsibility for registering dealers, reps

By James Langton |October 17, 2025

1 min read

FP Canada seizes education opportunity arising from CIRO’s exam-based proficiency FP Canada seizes education opportunity arising from CIRO’s exam-based proficiency

Industry

FP Canada seizes education opportunity arising from CIRO’s exam-based proficiency

Certification body sets sights on prospective investment dealer reps

By Michelle Schriver |October 16, 2025

3 min read

CIRO gives $1.5M to investor education, protection non-profits CIRO gives $1.5M to investor education, protection non-profits

Regulation

CIRO gives $1.5M to investor education, protection non-profits

Seven organizations will share the funds, collected from enforcement proceedings

By Noushin Ziafati |October 15, 2025

1 min read

OSC says it’s conducting compliance exams on sales practices at Big 5 fund dealers OSC says it’s conducting compliance exams on sales practices at Big 5 fund dealers

Regulation

OSC says it’s conducting compliance exams on sales practices at Big 5 fund dealers

Regulator clarifies its response to concerns arising from survey of mutual fund reps

By Michelle Schriver |October 10, 2025

3 min read