| Canadian Investment Regulatory Organization

Client Research Project

Investment Dealer

Mutual Fund Dealer

List of floating and tracking error margin rates for qualifying Canadian and U.S. index products

CSA and CIRO release results of review and guidance on conflicts of interest obligations

Joint Canadian Securities Administrators / Canadian Investment Regulatory Organization Staff Notice 31-363 Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance

Investment Dealer

Mutual Fund Dealer

Updated Guidance – Anti-Money Laundering Compliance for Investment Dealers

Approval/Implementation

August 16, 2023

Investment Dealer

OTT Financial Canada Inc.

Investment Dealer

Worldsource Wealth Management Inc.

Category:

Wells Fargo Securities Canada, Ltd.

Category:

Approved by CIRO to be a Participant

Wellington-Altus Private Wealth Inc.

Category:

Approved by CIRO to be a Participant

Wealthsimple Investments Inc.

Category:

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