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ENFORCEMENT DOCUMENT PRODUCTION GUIDE

The Document Production Guide (Guide) sets out CIRO Enforcement Staff’s expectations for producing documents and records in response to a Request for Information issued under the Investment Dealer an...

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FCA
FCA PLANS TO HELP PEOPLE GET MORE FINANCIAL ADVICE FOR IMPORTANT DECISIONS
March 26, 2026

More people could access financial advice, under proposals set out by FCA. The FCA is consulting on how to make it easier for fir...

Investment Executive
TRAILER FEES IN FCA"S CROSSHAIRS ONCE AGAIN
March 26, 2026

As part of an ongoing effort to expand the availability of financial advice, the U.K.’s Financial Conduct Authority (FCA) is cons...

CIRO
GUIDANCE ON CERTAIN MANIPULATIVE AND DECEPTIVE TRADING PRACTICES
March 25, 2026

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance regarding the obligations of Participants and Acces...

CIRO
GUIDANCE RESPECTING ORDER EXECUTION ONLY ACCOUNTS AS A FORM OF THIRD-PARTY ELECTRONIC ACCESS TO MARKETPLACES
March 25, 2026

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance regarding the supervision of order execution only (...

CIRO
GATEKEEPER REQUIRMENTS FOR DIRECT ELECTRONIC ACCESS AND ROUTING ARRANGEMENTS
March 25, 2026

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance on procedures for gatekeeper reporting to CIRO unde...

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