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!
- OSC Statement of Priorities for 2026-2027 published for comment
The Ontario Securities Commission published its proposed OSC Statement of Priorities for fiscal year 2026-2027, with comments due by January 12, 2026.
Read more » - Update on CIRO incorporated advisor compensation project
In January 2024, CIRO issued a position paper outlining the following three personal corporation-related policy options for comment: (1) an enhanced directed commission approach, (2) an incorporated advisor approach, and…
Read more » - Finders or Placement Agents under Canadian Securities Law
A recent settlement agreement from the British Columbia Securities Commission (BCSC) offers insight into how Canadian securities law may apply to individuals and entities acting as finders or placement agents, particula…
Read more » - BCSC Report Highlights Key Deficiencies on Client Focused Reforms
In September 2025, the British Columbia Securities Commission (BCSC) released its 2024 Annual Compliance Report Card (“BCSC Report” or “Report”), noting that the majority of compliance deficiencies identified during the …
Read more » - Proposed new CIRO OEO Guidance released
The Canadian Investment Regulatory Organization (“CIRO”) has released for comment proposed new guidance (“Proposed CIRO OEO Guidance”) intended to replace CIRO Guidance Note 3400-21-003: Guidance on order execution only …
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