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MODERNIZATION OF REQUIREMENTS FOR ACCOUNT TRANSFERS AND BULK ACCOUNT MOVEMENTS (IDPC RULE 4800, MFD RULE 2.12 AND CIRO RULE 4800)

A client service disruption can occur when a client decides to transfer their account from one firm to another and there are significant delays in moving some or all of the client’s account positions...

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CIRO
OBSI JOINT REGULATORS COMMITTE ANNUAL REPORT FOR 2025
July 24, 2026

This notice is being published jointly by the Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Org...

CIRO
CIRO HIGHLIGHTS ENFORCEMENT ACTIVITIES AND ACHIEVEMENTS IN 2025-2026 ENFORCEMENT REPORT
July 23, 2026

The Canadian Investment Regulatory Organization (CIRO) released its annual Enforcement Report highlighting the previous year’s en...

CIRO
JOINT REGULATORS COMMITTEE RECEIVES OBSI INDEPENDENT EVALUATOR"S REPORT
July 23, 2026

In response to the release of the independent evaluator’s report of the Ombudsman for Banking Services and Investments (OBSI) pub...

CIRO
CIRO NEW MEMBER - CIX TRADING INC.
July 23, 2026

CIX Trading Inc. (CIX) is admitted to membership in the Canadian Investment Regulatory Organization, effective July 20, 2026. The...

SIMA
SIMA CALLS ON GOVERNMENT TO MODERNIZE TAX RULES TO KEEP GLOBAL INVESTMENT MANDATES IN CANADA
July 23, 2026

The Securities and Investment Management Association (SIMA) has submitted a proposal to the Department of Finance Canada urging t...

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