Home Canadian Investment Regulatory Organization

Company: Canadian Investment Regulatory Organization

150 results found
Concept of digital investment tools

SRO proposes rule changes, calls for an industry-wide technological solution

advisor and client meeting

Research "showed a statistically significant association" between sales pressure and recommendations not in client interests

Retirees

Reps' concerns have been documented for years in IE's Report Card research

Judge makes ruling

Clients lost millions on futures trading that generated large commissions

Advisor tracking stocks

SRO to mimic U.S. regulatory halts for stock-tracking vehicles

Rules and regulations

Expanded fund reporting requirements to take effect in 2026

Trader at computer screen

Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets

Old and new sign

On July 1, Quebec joins effort to streamline registration, cut regulatory burden

Big binders

SRO sees jump in complaints, investigations, but proceedings down

calendar court

Reps fined, banned for personal financial dealings with clients