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Company: Canadian Investment Regulatory Organization

68 results found
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Expanding access to advice, standardizing KYC data collection on SRO's agenda

Court.

Clients lost more than $1.5 million on rep's failed fintech venture

a man pushing a giant ball while others push squares

Industry divided on, investor advocates opposed to, reforms

gavel

Firm failed to adequately oversee rep's risky trading strategy, CIRO says

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Terms of firm's sale weren't fully disclosed to regulators

Crypto coins

Crypto firm to pursue full dealer and ATS registration, plus SRO membership

Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings

Review process

First oversight review finds SRO complying with recognition order

gavel

Ban, fine of $300K follow repeat episode of unapproved outside business activity

Court.

Panel orders penalties for disgorgment and deterrence