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Company: Canadian Investment Regulatory Organization

117 results found

Fund rep’s side hustle results in ban, fine

Clients lost more than $1.5 million on rep's failed fintech venture

a man pushing a giant ball while others push squares

Rep incorporation proposals prove to be sticky wicket

Industry divided on, investor advocates opposed to, reforms

BMO Nesbitt sanctioned for supervisory shortcomings

Firm failed to adequately oversee rep's risky trading strategy, CIRO says

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

Fund dealer chief sanctioned for misleading SRO

Terms of firm's sale weren't fully disclosed to regulators

Crypto coins

Coinbase Canada gets CSA registration

Crypto firm to pursue full dealer and ATS registration, plus SRO membership

Ex-rep’s crypto trading attracts SRO sanctions

Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings

Review process

CIRO gets clean bill of health from CSA

First oversight review finds SRO complying with recognition order

Rep called out after strike two

Ban, fine of $300K follow repeat episode of unapproved outside business activity

Rep fell for fraud scheme, sanctioned by SRO

Panel orders penalties for disgorgment and deterrence

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

CFRs, CE and cybersecurity among CIRO’s priorities for 2024

The SRO also updated its exam timeline for mutual fund dealers