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AMENDMENT REGARDING INDIVIDUAL APPROVED PERSON PROFICIENCIES (REPEAL OF IDPC RULE SUBSECTION 2603(2))

The Canadian Investment Regulatory Organization is repealing Investment Dealer and Partially Consolidated (IDPC) Rule subsection 2603(2) (the Amendment), effective immediately. The objective of the A...

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CIRO
CIRO SANCTIONS CLARUS SECURITIES INC. FOR GATEKEEPER FAILURES
October 11, 2024

CIRO sanctioned Clarus Securities Inc. for gatekeeper failures. Clarus admitted it had failed to adequately supervise and monitor...

CIRO
ENHANCED COST REPORTING - PROPOSED RULE AMENDMENTS
October 11, 2024

The Canadian Investment Regulatory Organization (CIRO) is publishing for comments proposed amendments to the client reporting req...

OSC
OSC SEEKS APPLICATIONS FOR THE REGISTRANT ADVISORY COMMITTEE
October 11, 2024

The Ontario Securities Commission (OSC) is inviting applications for membership on its Registrant Advisory Committee (RAC or the ...

OSC
OSC CONSULTATION PAPER 81-737 - OPPORTUNITY TO IMPROVE RETAIL INVESTOR ACCESS TO LONG-TERM ASSETS THROUGH INVESTMENT FUND PRODUCT STRUCTURES
October 11, 2024

This Consultation Paper sets out a framework proposal (the Proposal) to facilitate investment opportunities in long-term illiquid...

ASC
ASC ISSUES PUBLIC INTEREST ORDER AGAINST WILLIAM JORDAN MCBEAN IN RESPONSE TO CRIMINAL FRAUD CONVICTION
October 11, 2024

The Alberta Securities Commission (ASC) has permanently banned William Jordan McBean from participating in Alberta’s capital mark...

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