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Company: Canadian Investment Regulatory Organization

125 results found
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

Rep admits to unapproved discretionary trades

Settlement includes disgorgement, penalty and suspension

Rep sanctioned for advising via Discord platform

Online posts amounted to securities-related business, CIRO panel found

CIRO arms firms to face ransomware attacks

SRO publishes playbook for dealing with growing cyber threat

rules and regulations

CIRO seeks new securities lending rules

Proposals aim to codify investor protections, enhance flexibility

SRO must hand out sanctions before appeal

MSC rules it's premature to hear an appeal until SRO case completed

Former PI exec fined, banned in Ng fraud

Firm's executive aided Ng's scheme to raise funds with falsified collateral

Rep banned after misappropriating money from client

SRO panel found the rep opened banking products, including a line of credit, in the client's name

Judge looks at papers

SRO panel takes softer line on sanctions

The panel found a rep's misconduct to be serious, but not fraudulent or deceitful

Rep fined, banned in CIRO settlement

Former rep admitted to misappropriation

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

Tribunal trims sanctions against former rep

After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders