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!
- Supporting Advisor Adoption of Compliance Processes
Over the past several years, registrants have spent considerable time and effort strengthening their compliance programs in response to the Client Focused Reforms and other regulatory developments under NI 31-103.
Read more » - OSC Releases 2026 Examination Priorities
The OSC’s Registration, Inspections and Examinations Division (RIE) has published the 2026 OSC Examination Priorities, providing insight into the areas that the Registration, Inspections and Examinations Division intends…
Read more » - 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 »
