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!
- 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 » - Regulators Request Comments as EMD Exemption Nears Expiry
Read more » - 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…
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