Information About Registrant Law Regulatory Updates
Recent Posts
Below is a preview of the five most recent posts from the blog Registrant Law Regulatory Updates. To read these posts in their entirely or subscribe to future updates from this blog, please visit their website!
- Where Securities Regulator Requires a Compliance Consultant
Firms registered under Canadian securities laws may, in certain circumstances, have terms and conditions imposed on their registration requiring them to retain an independent compliance consultant.
Read more » - Webinar on CFR Sweep Phase 2 Results on January 28, 2026
Nancy Mehrad of Registrant Law will be speaking about the CSA-CIRO Report outlining the CFR Phase 2 Sweep Results at the Bridging the Compliance Gap: Meeting Regulator Expectations Under CFRs webinar hosted by InvestorCO…
Read more » - CFR Phase 2 Sweep Results – Key Findings & Takeaways
The CSA-CIRO CFR Report outlining the CFR Phase 2 Sweep Results was published on December 10, 2025. The CFR Sweep Report summarizes findings from examinations of securities registrants’ adherence to enhanced KYC, KYP and… … Read more »
- CIRO Seeks Engagement on Online Advice – Advisory & Managed
CIRO is considering developing policy to help expand online advice options across CIRO Dealer Members, including hybrid and automated models in the advisory and managed channels, allowing access to regulated advice to a …
Read more » - Webinar on CFR Phase 2 Sweep Results on December 16, 2025
The CSA-CIRO Report outlining the CFR Phase 2 Sweep Results was published on December 10, 2025. The CFR Sweep Report summarizes findings from examinations of securities registrants’ adherence to enhanced KYC, KYP and sui…
Read more »
