TORONTO, Jan. 31, 2025 /CNW/ - The Canadian Investment Regulatory Organization (CIRO) published its Annual Compliance Report, providing insight for dealers into emerging compliance challenges and ...

The conversation touches on the role of compliance, enforcement, and the evolving regulatory landscape, including recent developments like the AI diffusion framework. The episode also explores the ...

The Canadian Investment Regulatory Organization (CIRO) has published its Annual Compliance Report, providing insight for dealers into emerging compliance challenges and what’s needed to address them.

A report on the results of a regulatory sweep that examined dealers’ compliance with all aspects of the Client-Focused Reforms (CFRs) will be delivered in the first half of 2025, according to a new ...