Regulatory Alerts2024-03-28
CSA Staff Notice 25-311: 2023 Annual Activities Report on the Oversight of CIRO and CIPF
The Canadian Securities Administrators issued this report detailing its 2023 oversight activities for the newly amalgamated Canadian Investment Regulatory Organization and Canadian Investor Protection Fund. The document outlines the implementation of nine post-close initiatives, including high-priority work on dual registration policies, directed commissions, and the consolidation of SRO rulebooks. It further summarizes regulatory actions regarding short selling, crypto asset risks, proficiency regime enhancements, and compliance reviews of member firms.
Share