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ข่าว บริษัท :
- Suspending, reinstating and revoking registration - OSC
For investment dealers, mutual fund dealers and futures commission merchants, CIRO will be publishing guidance on how to apply to them to have your registration reinstated
- Dealer Member Rules | Canadian Investment Regulatory Organization
Staff Notices remain effective and will be updated to reference the Mutual Fund Dealer Rules
- What’s new for dealers - CIRO releases Phase 4 of the Rule . . .
Our assessment is that the Proposal will have significant implications for mutual fund dealers This phase involves the adoption of rules relating to approval and proficiency for individuals, managing significant areas of risk, and business conduct and client account rules
- Canadian Investment Regulatory Organization
In certain cases, the Program will now enable CIRO to distribute funds collected pursuant to a disgorgement order to investors who have been financially harmed by registrant misconduct It might go without saying, but securities activities in Canada are regulated
- Rules and Enforcement | Canadian Investment Regulatory Organization
The Universal Market Integrity Rules (UMIR) set out the requirements applicable to CIRO Participant Members, Access Persons and Marketplaces for securities-related trading activities on all marketplaces that we regulate
- CIRO Interim Rules – Frequently Asked Questions
CIRO is currently focused on consolidating the Investment Dealer and Partially Consolidated Rules with the Mutual Fund Dealer Rules We will provide regular updates on the plan and progress throughout the process
- BLG - understanding-the-canadian-investment-regulatory-organization . . .
This resource is designed to help you find, understand and act on CIRO-related topics, such as new developments, rules, registration requirements, enforcement and examinations and more
- Rule Consolidation Project - Canadian Investment Regulatory Organization
One of the initial CIRO priorities is to consolidate: into one set of consolidated rules applicable to both investment dealers and mutual fund dealers The Consolidated Rule Project is being pursued in phases
- Transferring registration to another firm - OSC
If all of the above conditions are met, the individual may apply for reinstatement of registration by completing Form 33-109F7 and the sponsoring firm must submit the form through NRD There is no fee associated with reinstatement of registration in Ontario
- CIRO Rule Review - OSC
Notice of Commission Approval – Proficiency Model for Approved Persons under the Investment Dealer and Partially Consolidated Rules – Canadian Investment Regulatory Organization (CIRO)
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