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GUIDANCE ON TRADING SUPERVISION OBLIGATIONS

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance to clarify certain requirements under UMIR 7.1 and Policy 7.1. To meet the requirements of UMIR 7.1 Participants must dev...

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CIRO
GATEKEEPER REPORTING OBLIGATION
March 30, 2026

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance regarding the “gatekeeper” reporting obligation of ...

CIRO
COMPLETION OF UMIR GUIDANCE UPDATE PROJECT
March 30, 2026

As part of CIRO’s Annual Priorities for fiscal 2026, we have been working on the UMIR Guidance Update Project to review and moder...

SIMA
SIMA CALLS FOR REGULATORY EFFICIENCY IN NEW LRM FRAMEWORK
March 30, 2026

The Securities and Investment Management Association (SIMA) has responded to the Canadian Securities Administrators’ (CSA) reques...

SEC
SEC APPROVES AMENDMENT TO NMS PLAN TO FURTHER REDUCE THE COSTS OF THE CONSOLIDATED AUDIT TRAIL
March 30, 2026

The Securities and Exchange Commission approved an amendment to the National Market System Plan governing the Consolidated Audit ...

FCA
FCA FINES DINOSAUR MERCHANT BANK LIMITED FOR MARKET ABUSE SURVEILLANCE FAILURES
March 30, 2026

The FCA has fined Dinosaur Merchant Bank Limited (DMBL) £338,000 for failing to put in place effective systems and controls to de...

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