Canadian Investment Regulatory Organization – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 20 Nov 2024 20:37:45 +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 poised to take over dealer registration https://www.investmentexecutive.com/news/from-the-regulators/ciro-poised-to-take-over-dealer-registration/ Wed, 20 Nov 2024 18:37:45 +0000 https://www.investmentexecutive.com/?p=497037 OSC to delegate registration to CIRO, rest of CSA considering it too

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]]> CIRO sanctions supervisory lapses at Desjardins https://www.investmentexecutive.com/news/from-the-regulators/ciro-sanctions-supervisory-lapses-at-desjardins/ Fri, 15 Nov 2024 14:16:00 +0000 https://www.investmentexecutive.com/?p=496774 Firm failed to oversee trading activity by a couple of its reps

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]]> CIRO taps Fitch Learning for new proficiency model https://www.investmentexecutive.com/news/from-the-regulators/ciro-taps-fitch-learning-for-new-proficiency-model/ Fri, 08 Nov 2024 14:00:36 +0000 https://www.investmentexecutive.com/?p=496316 Firm to help build infrastructure for new exam-based approach to reps' education

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]]> OBSI reform slated for second half of 2025 https://www.investmentexecutive.com/news/from-the-regulators/obsi-reform-slated-for-second-half-of-2025/ Thu, 07 Nov 2024 20:18:19 +0000 https://www.investmentexecutive.com/?p=496274 CSA says next phase of consultation to come next year

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]]> Fund rep sanctioned for allowing ‘stealth advising’ https://www.investmentexecutive.com/news/from-the-regulators/fund-rep-sanctioned-for-allowing-stealth-advising/ Wed, 06 Nov 2024 18:18:10 +0000 https://www.investmentexecutive.com/?p=496155 Leverage strategy deployed on the down low resulted in hefty financial losses

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]]> CIRO proposes overhaul of arbitration program https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-overhaul-of-arbitration-program/ Thu, 31 Oct 2024 19:11:45 +0000 https://www.investmentexecutive.com/?p=495842 Reforms would extend program to fund dealers, expand monetary limits, fund certain costs

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]]> Ontario promises MGA licensing https://www.investmentexecutive.com/news/from-the-regulators/ontario-promises-mga-licensing/ Wed, 30 Oct 2024 21:28:26 +0000 https://www.investmentexecutive.com/?p=495771 OSC asked to review OM exemption, beneficial ownership registry being examined

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]]> Tribunal rejects rep’s appeal of CIRO rulings https://www.investmentexecutive.com/news/from-the-regulators/tribunal-rejects-reps-appeal-of-ciro-rulings/ Thu, 24 Oct 2024 22:03:53 +0000 https://www.investmentexecutive.com/?p=495461 Acts in furtherance of a trade violated securities rules

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]]> Royal settles the case of the missing RESP grants https://www.investmentexecutive.com/news/from-the-regulators/royal-settles-the-case-of-the-missing-resp-grants/ Wed, 23 Oct 2024 21:30:04 +0000 https://www.investmentexecutive.com/?p=495384 Firm was alerted to $1 million in missed grants by government review

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]]> CIRO revisits returning money to harmed investors https://www.investmentexecutive.com/news/from-the-regulators/ciro-revisits-returning-money-to-harmed-investors/ Mon, 21 Oct 2024 20:42:23 +0000 https://www.investmentexecutive.com/?p=495179 Self-regulatory organization consults on proposed disgorgement distribution policy

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