Investment Industry Regulatory Organization of Canada – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 06 Aug 2024 19:06:17 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Investment Industry Regulatory Organization of Canada – Investment Executive https://www.investmentexecutive.com 32 32 CSA orders crypto firms to start joining CIRO https://www.investmentexecutive.com/news/from-the-regulators/csa-orders-crypto-firms-to-start-joining-ciro/ Tue, 06 Aug 2024 19:06:17 +0000 https://www.investmentexecutive.com/?p=490569 Regulators call time on interim approach to onboarding crypto firms

The post CSA orders crypto firms to start joining CIRO appeared first on Investment Executive.

]]> Tribunal trims sanctions against former rep https://www.investmentexecutive.com/news/from-the-regulators/tribunal-trims-sanctions-against-former-rep/ Fri, 26 Jan 2024 21:19:19 +0000 https://www.investmentexecutive.com/?p=479364 After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders

The post Tribunal trims sanctions against former rep appeared first on Investment Executive.

]]> CIRO sanctions dealer’s supervisory lapses https://www.investmentexecutive.com/news/from-the-regulators/ciro-sanctions-dealers-supervisory-lapses/ Thu, 21 Dec 2023 22:11:28 +0000 https://www.investmentexecutive.com/?p=477800 Calgary's Leede Jones Gable fined $150,000 for oversight failings

The post CIRO sanctions dealer’s supervisory lapses appeared first on Investment Executive.

]]> CIRO drops harmonized sanctions guidance https://www.investmentexecutive.com/news/from-the-regulators/ciro-drops-harmonized-sanctions-guidance/ Thu, 21 Dec 2023 21:57:26 +0000 https://www.investmentexecutive.com/?p=477784 SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

The post CIRO drops harmonized sanctions guidance appeared first on Investment Executive.

]]> CIRO takes step toward consolidated dealer rules https://www.investmentexecutive.com/news/from-the-regulators/ciro-takes-step-toward-consolidated-dealer-rules/ Fri, 20 Oct 2023 20:32:43 +0000 https://www.investmentexecutive.com/?p=473795 New SRO aims to harmonize requirements for fund dealers and investment dealers

The post CIRO takes step toward consolidated dealer rules appeared first on Investment Executive.

]]> Tribunal finds SRO panel erred https://www.investmentexecutive.com/news/from-the-regulators/tribunal-finds-sro-panel-erred/ Mon, 16 Oct 2023 20:18:39 +0000 https://www.investmentexecutive.com/?p=473421 The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it

The post Tribunal finds SRO panel erred appeared first on Investment Executive.

]]> With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher https://www.investmentexecutive.com/news/from-the-regulators/with-costs-projected-to-increase-9-in-fiscal-2024-ciros-fees-are-also-heading-higher/ Tue, 26 Sep 2023 18:14:12 +0000 https://www.investmentexecutive.com/?p=472211 Fees for investment dealers to rise 6.4%, annual report says

The post With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher appeared first on Investment Executive.

]]> CIRO seeks margin rules for PPNs https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-margin-rules-for-ppns/ Thu, 20 Jul 2023 21:19:28 +0000 https://www.investmentexecutive.com/?p=469044 Proposal revises conservative approach initially sought by IIROC

The post CIRO seeks margin rules for PPNs appeared first on Investment Executive.

]]> CIRO tackling array of high-profile policy challenges https://www.investmentexecutive.com/news/from-the-regulators/ciro-tackling-array-of-high-profile-policy-challenges/ Tue, 30 May 2023 17:56:54 +0000 https://www.investmentexecutive.com/?p=466447 Commission structures, account transfer standards and dual registration are all in the works

The post CIRO tackling array of high-profile policy challenges appeared first on Investment Executive.

]]> BCSC to start handing out tickets https://www.investmentexecutive.com/news/from-the-regulators/bcsc-to-start-handing-out-tickets/ Thu, 27 Apr 2023 17:58:35 +0000 https://www.investmentexecutive.com/?p=464516 Regulator will issue penalties, without hearings, for minor rule violations

The post BCSC to start handing out tickets appeared first on Investment Executive.

]]>