Canadian Investment Regulatory Organization – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 19 Aug 2024 16:37:16 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Canadian Investment Regulatory Organization – Investment Executive https://www.investmentexecutive.com 32 32 CIRO alleges dealer filed RESP grants inadequately for 20 years https://www.investmentexecutive.com/news/from-the-regulators/ciro-alleges-dealer-filed-resp-grants-inadequately-for-20-years/ Mon, 19 Aug 2024 16:26:47 +0000 https://www.investmentexecutive.com/?p=491314 Settlement hearing with Royal Mutual Funds scheduled for Oct. 15

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]]> Fund rep fined, banned for client borrowing https://www.investmentexecutive.com/news/from-the-regulators/fund-rep-fined-banned-for-client-borrowing/ Thu, 08 Aug 2024 18:40:48 +0000 https://www.investmentexecutive.com/?p=490697 Misconduct continued even when rep was under close supervision, CIRO says

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]]> CSA orders crypto firms to start joining CIRO https://www.investmentexecutive.com/news/from-the-regulators/csa-orders-crypto-firms-to-start-joining-ciro/ Tue, 06 Aug 2024 19:06:17 +0000 https://www.investmentexecutive.com/?p=490569 Regulators call time on interim approach to onboarding crypto firms

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]]> CIRO to drop Gravitas https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-drop-gravitas/ Tue, 30 Jul 2024 13:19:32 +0000 https://www.investmentexecutive.com/?p=490173 Firm winding down after running into capital trouble

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]]> OSC’s compliance work escalates https://www.investmentexecutive.com/news/from-the-regulators/oscs-compliance-work-escalates/ Fri, 26 Jul 2024 19:36:15 +0000 https://www.investmentexecutive.com/?p=490069 Risky firms, crypto platforms add to compliance division's workload

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]]> Much work to be done, CSA year in review shows https://www.investmentexecutive.com/news/from-the-regulators/much-work-to-be-done-csa-year-in-review-shows/ Tue, 23 Jul 2024 11:00:04 +0000 https://www.investmentexecutive.com/?p=489713 Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

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]]> CIRO enforcement activity down in fiscal 2024 https://www.investmentexecutive.com/news/from-the-regulators/ciro-enforcement-activity-down-in-fiscal-2024/ Tue, 16 Jul 2024 13:00:26 +0000 https://www.investmentexecutive.com/?p=489374 Self-regulatory organization reported year-over-year decline in decisions and sanctions

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]]> CIRO debuts new proficiency regime rules https://www.investmentexecutive.com/news/from-the-regulators/ciro-debuts-new-proficiency-regime-rules/ Fri, 05 Jul 2024 17:33:06 +0000 https://www.investmentexecutive.com/?p=488879 SRO drops firm sponsorship requirement, among other changes

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]]> Dealers question lack of cost savings under CIRO’s proposed fee model https://www.investmentexecutive.com/news/from-the-regulators/dealers-question-lack-of-cost-savings-under-ciros-proposed-fee-model/ Thu, 04 Jul 2024 19:06:29 +0000 https://www.investmentexecutive.com/?p=488805 Consultation highlights industry concerns

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]]> Advisor incorporation among CIRO’s priorities for 2025 https://www.investmentexecutive.com/news/from-the-regulators/advisor-incorporation-among-ciros-priorities-for-2025/ Wed, 26 Jun 2024 20:56:59 +0000 https://www.investmentexecutive.com/?p=488467 SRO integration and investor protection also on the agenda

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