Firm failed to adequately oversee rep's risky trading strategy, CIRO says
Terms of firm's sale weren't fully disclosed to regulators
Crypto firm to pursue full dealer and ATS registration, plus SRO membership
Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings
First oversight review finds SRO complying with recognition order
Ban, fine of $300K follow repeat episode of unapproved outside business activity
Panel orders penalties for disgorgment and deterrence
The SRO also updated its exam timeline for mutual fund dealers
Serving as a client's executor totally incompatible with rep's role, panel says
CIRO firms exempt from new standards for Quebec financial firms
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