Company: Canadian Investment Regulatory Organization

129 results found
Fork in the road

After consultation, SRO cuts proposed new dealer application fees

Old and new sign

SEC reforms under judicial review, Canadian regs won't change first

Business banking

Earlier decision requiring clearing broker to produce records overturned

Judge looks at papers

Effort to elevate financial compensation in criminal cases falls flat

rules and regulations

SRO proposes mandatory close-out requirements that aim to prevent failed trades, align with U.S. regime

A creative woman asking a question at the office

SRO sets out common requirements, contemplates shift to annual CE cycle

trade timing

Proposed reforms would harmonize requirements for inter-listed securities

penalty card

Rep circumvented registration limits to trade wider range of securities

Judge looks at papers

A second former Stifel Nicolaus trader settles with SRO

MFDA hearing panel finds W.H. Stuart, co-founder violated industry rules

Rep admitted to misappropriating money from investment and insurance clients