Canadian Investment Regulatory Organization – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 19 Dec 2024 20:37:11 +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 seeks feedback on proposed CE harmonization https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-feedback-on-proposed-ce-harmonization/ Thu, 19 Dec 2024 20:37:11 +0000 https://www.investmentexecutive.com/?p=498951 SRO sets out common requirements, contemplates shift to annual CE cycle

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]]> CIRO to match SEC on trading increments https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-match-sec-on-trading-increments/ Thu, 12 Dec 2024 19:28:10 +0000 https://www.investmentexecutive.com/?p=498461 Proposed reforms would harmonize requirements for inter-listed securities

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]]> Ex-fund rep used online brokers with clients https://www.investmentexecutive.com/news/from-the-regulators/ex-fund-rep-used-online-brokers-with-clients/ Mon, 09 Dec 2024 20:15:52 +0000 https://www.investmentexecutive.com/?p=498196 Rep circumvented registration limits to trade wider range of securities

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]]> CIRO sanctions another ex-trader in disclosure case https://www.investmentexecutive.com/news/from-the-regulators/ciro-sanctions-another-ex-trader-in-disclosure-case/ Fri, 06 Dec 2024 18:02:08 +0000 https://www.investmentexecutive.com/?p=498088 A second former Stifel Nicolaus trader settles with SRO

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]]> Ex-fund rep fined, banned over theft https://www.investmentexecutive.com/news/from-the-regulators/ex-fund-rep-fined-banned-over-theft/ Mon, 02 Dec 2024 18:02:56 +0000 https://www.investmentexecutive.com/?p=497738 Rep admitted to misappropriating money from investment and insurance clients

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]]> CSA seeks sales practices reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-seeks-sales-practices-reforms/ Fri, 29 Nov 2024 15:08:45 +0000 https://www.investmentexecutive.com/?p=497634 Proposals aim to boost investor protection around proprietary fund sales

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]]> Former fund rep sanctioned for SRO rule breaches https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-sanctioned-for-sro-rule-breaches/ Thu, 28 Nov 2024 21:02:26 +0000 https://www.investmentexecutive.com/?p=497619 Rep had clients invest in, failed to disclose, his side hustles

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]]> Christmas comes early for FAIR Canada https://www.investmentexecutive.com/news/from-the-regulators/christmas-comes-early-for-fair-canada/ Wed, 27 Nov 2024 18:43:55 +0000 https://www.investmentexecutive.com/?p=497551 OSC provides investor advocate with $11 million in funding over six years

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]]> OSC, CIRO to review banks’ sales practices https://www.investmentexecutive.com/news/from-the-regulators/osc-ciro-to-review-banks-sales-practices/ Tue, 26 Nov 2024 22:45:23 +0000 https://www.investmentexecutive.com/?p=497479 Regulators cite concerns about high-pressure sales tactics in bank branches

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]]> Trader sanctioned for improper disclosure https://www.investmentexecutive.com/news/from-the-regulators/trader-sanctioned-for-improper-disclosure/ Tue, 26 Nov 2024 18:12:35 +0000 https://www.investmentexecutive.com/?p=497431 Hedge fund traded on information about firm's pending block trades

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