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ARTICLE · 02 DECEMBER 2024

Summary Of CIRO Exemptions Granted

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Earlier this month, the Canadian Investment Regulatory Organization (CIRO) released its summary of rule exemptions granted by CIRO in 2023. Some common exemptions granted included

CanadaCorporate/Commercial Law
AUM Law
AUM Law
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Earlier this month, the Canadian Investment Regulatory Organization (CIRO) released its summary of rule exemptions granted by CIRO in 2023. Some common exemptions granted included:

  • exemptions from UMIR provisions granted by CIRO staff from the rules relating to trading off-marketplace during a regulatory halt or a statutory hold period;
  • exemptions granted by the CIRO board relating to dual registration to allow the operation of an investment dealer and mutual fund dealer within a single legal entity;
  • exemptive relief pertaining to trading in crypto assets, relating to the requisite financial bond insurance and acceptable securities locations;
  • relief regarding account opening requirements in relation to bulk account movements; and

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