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Company: Canadian Investment Regulatory Organization

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

Ex-fund rep fined, banned over theft

Rep admitted to misappropriating money from investment and insurance clients

U.S. efforts to undo regulatory reforms likely to be limited: Russell

CSA seeks sales practices reforms

Proposals aim to boost investor protection around proprietary fund sales

whistleblower

Former fund rep sanctioned for SRO rule breaches

Rep had clients invest in, failed to disclose, his side hustles

Donation grant

Christmas comes early for FAIR Canada

OSC provides investor advocate with $11 million in funding over six years

Piggy banks on stacks of gold coins

OSC, CIRO to review banks’ sales practices

Regulators cite concerns about high-pressure sales tactics in bank branches

Judge's gavel with magnifying glass on black.

Trader sanctioned for improper disclosure

Hedge fund traded on information about firm's pending block trades

Judge looks at papers

Ex-fund rep banned for ‘obvious’ conflict of interest

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

Dividing groups

CIRO poised to take over dealer registration

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

CIRO sanctions supervisory lapses at Desjardins

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

new label

CIRO taps Fitch Learning for new proficiency model

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