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Company: Canadian Investment Regulatory Organization

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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

man working on laptop

CIRO proposes personal corporations for reps

SRO consults on options for resolving long-standing regulatory disparity

Ex-fund rep banned for borrowing from widower

Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged

new rules

CIRO revises derivatives rules for dealers

First phase of reforms to take effect Sept. 28

stock market data

CIRO aims to beef up short-selling requirements

Self-regulatory organization proposes new settlement obligation and expanded guidance

Former fund rep fined, banned over forgery

Rep recruited tenant as a client without firm's permission

HSBC fined over DIY client fee errors

Certain clients overcharged, others undercharged, due to recordkeeping glitch

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 dealer’s supervisory lapses

Calgary's Leede Jones Gable fined $150,000 for oversight failings

Air raid sirens

CIRO drops harmonized sanctions guidance

SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies