As of January 22, 2024, corporations registered under the Canada Business Corporations Act (“CBCA”) must maintain and provide a record of individuals with significant control (“ISC”) to Corporations Canada.
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Continuing Education (CE) Credits – Have You Logged Into the CIRO CERTS Portal?
April 10, 2025Category: Compliance
As a follow-up to our last communication, we have received feedback from CIRO that some CERTS users (Representatives, Associate Advisors, Junior Advisors, Licensed Assistants, Branch Managers) are having difficulty either registering on the portal or completing their 2024 and 2025 mandatory MFD compliance credit(s).
Reminder – 2025 Licence Billing – Investia-Registered Representatives (7599)
April 10, 2025Category: Compensation
As a reminder, annual licence fees will be deducted from your commissions deposited next week, i.e., on April 17, 2025 (pay period 2025-15), unless you have elected to pay these fees by credit card via ePay.
We would like to inform you of two important changes regarding model portfolios in Univeris. These changes will come into effect on May 1, 2025.
On March 24, 2025, the Canadian Investment Regulatory Organization (CIRO) issued a press release to warn Canadian investors about an emerging scam known as account intrusions. This type of fraudulent activity is a growing concern as fraudsters employ sophisticated tactics to access and exploit investment accounts.
In an effort to improve our Limited Authorization Form (LAF) process, please note that the following two changes will come into effect on April 4, 2025.
Please be advised that the CIRO 2025 MFD Compliance credit is now available on CIRO’s CE Reporting and Tracking System (“CERTS”) portal.
We are pleased to announce the launch of a brand-new email address dedicated to questions about compensation.
Reminder – 2025 Licence Billing – Investia-Registered Representatives (7599)
April 3, 2025Category: Compensation
We would like to remind you that annual licence fees will be deducted from your commissions deposited on April 17, 2025 (pay period 2025-15), unless you have elected to pay these fees by credit card via ePay.
Letters of Indemnity – Important Reminders and Considerations
April 3, 2025Category: Best practices
Please find below some key reminders regarding letters of indemnity (“LOIs”).