Home Canadian Investment Regulatory Organization Page 8

Company: Canadian Investment Regulatory Organization

130 results found

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

CIRO panel sanctions fund rep over conflicts

Serving as a client's executor totally incompatible with rep's role, panel says

AMF issues complaint handling rules

CIRO firms exempt from new standards for Quebec financial firms

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