Company: Canadian Investment Regulatory Organization

114 results found
Judge looks at papers

Rep arranged a loan from one client to another to repay a "gang" debt

Dividing groups

OSC to delegate registration to CIRO, rest of CSA considering it too

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Firm failed to oversee trading activity by a couple of its reps

new label

Firm to help build infrastructure for new exam-based approach to reps' education

Dispute at desk

CSA says next phase of consultation to come next year

Fraud

Leverage strategy deployed on the down low resulted in hefty financial losses

a bright idea

Reforms would extend program to fund dealers, expand monetary limits, fund certain costs

Oversight direction

OSC asked to review OM exemption, beneficial ownership registry being examined

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Acts in furtherance of a trade violated securities rules

Judge looks at papers

Firm was alerted to $1 million in missed grants by government review