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!
- 2025 CIRO Compliance Report published
On January 31, 2025, the Canadian Investment Regulatory Organization (CIRO) issued its annual Compliance Priorities Report for 2025 (“2025 CIRO Compliance Report”). The 2025 CIRO Compliance Report summarizes current issu…
Read more » - CFR Sweep Results Discussed in CIRO Compliance Report
In its recent 2025 Compliance Report, CIRO reported that CIRO and the CSA conducted Phase 2 of the Client Focused Reforms (CFR) sweeps, which focused on evaluating registrants’ compliance with all CFR requirements, inclu…
Read more » - CIRO expects to revise its Order Execution Only Guidance
CIRO has published Bulletin # 24-0367, whereby it suggests that the Order Execution Only Guidance (OEO Dealer Guidance), which was last published in 2021, is likely to be revised.
Read more » - Registrant Law offers in-house counsel services
Finding a contract lawyer with securities regulatory law expertise to really step in and take the load off your team, is hard. I know, I’ve been there. There aren’t too many securities lawyers freelancing their work, and…
Read more » - CCO Report to the Board
One of the responsibilities of the Chief Compliance Officer (CCO) of a registered firm is to submit an annual report to the firm’s board of directors, or individuals acting in a similar capacity for the firm, for the pur…
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