search

HOUSEKEEPING AMENDMENTS TO THE GENERAL NOTES AND DEFINITIONS TO MFDR FORM 1 AND IDPC FORM 1 RELATED TO DERECOGNITION OF FINANCIAL LIABILITIES

The Canadian Investment Regulatory Organization (CIRO) is amending the general notes and definitions in both the Mutual Fund Dealer Rules (MFDR) Form 1 and the Investment Dealer and Partially Consoli...

Continue reading...

CSA
CSA ANNOUNCES ADOPTION OF FINAL AMENDMENTS TO TRADING FEE CAPS CHARGED BY MARKETPLACES
April 24, 2026

The Canadian Securities Administrators (CSA) announced the adoption of final amendments to National Instrument 23-101 Trading Rul...

Fintrac
FINTRAC PUBLISHES MONEY LAUNDERING INDICATORS RELATED TO EXTORTION
April 24, 2026

FINTRAC published a new Special Bulletin on money laundering associated with extortion directed at Canada’s South Asian diaspora ...

FCA
FCA PUBLISHES FINDINGS FROM FINANCIAL ADVISER MARKET SURVEY
April 24, 2026

The findings provide an updated picture of how the UK financial advice market is evolving and what this means for firms, consumer...

Investment Executive
FIRM AVOIDS HEFTY FCA FINE WITH LARGE CLIENT PAYOUT
April 24, 2026

Investment firm Sapia Partners LLP is voluntarily paying £19.6 million to investors that lost money to alleged misconduct by anot...

Investment Executive
RETAIL INVESTORS NEED TOOLS FOR PRIVATE MARKETS
April 24, 2026

Amid growing concern about lurking risks in the private credit sector, global securities regulators are undertaking work to addre...

More from the news archive ⇨
Wednesday, Apr 29, 2026
CYBER THREATS & EFFECTIVE PRACTICES WITH FBI AND INDUSTRY EXPERTS
Friday, May 08, 2026
OPS2025
Tuesday, May 12, 2026
2026 ANNUAL CONFERENCE