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CIRO"S 2025 INDUSTRY BUSINESS CONTINUITY PLANNING TEST COMPLETED

On Saturday, October 25, 2025, CIRO’s biennial industry business continuity planning (BCP) trading simulation test was successfully completed. In addition to the trading simulation, an Incident Respo...

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OSC
OSC SEEKS FEEDBACK ON EFFORTS TO CREATE A MACHINE-READABLE REGULATORY FRAMEWORK
March 31, 2026

The Ontario Securities Commission (OSC) is seeking feedback on how to best build and shape a machine-readable dataset of securiti...

ASC
ASC ANNOUNCES TEMPORARY FEE COORDINATION APPROACH WITH CIRO TO KEEP REGISTRATION COSTS NEUTRAL
March 31, 2026

The Alberta Securities Commission (ASC) announced a one-year, coordinated fee approach with the Canadian Investment Regulatory Or...

Investment Executive
U.S. ADVISOR SETTLES SEC CHARGES
March 31, 2026

A U.S. advisory firm is paying US$5 million to settle allegations that it breached its fiduciary duty to clients by failing to di...

CIRO
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
March 30, 2026

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance to clarify certain requirements under UMIR 7.1 and ...

CIRO
GATEKEEPER REPORTING OBLIGATION
March 30, 2026

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

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