Home Canadian Investment Regulatory Organization

Company: Canadian Investment Regulatory Organization

37 results found
Judge looks at papers

CIRO doesn't need an order to use compelled evidence in its own proceedings, regulatory panel says

three colleagues discussing their business prospects and looking at laptop screen

Regulators to explore the regulation, provision of advice online

stock market down

Lack of consensus on possible reforms sends regulators back to study the issues

Judge's gavel with magnifying glass on black.

Regulator investigating amid suspected trading misconduct

investor protection

Group to focus on investor-advisor relationships, complaints, suitability

Judge looks at papers

Former fund rep was named in clients' wills and solicited money from them

Silhouette of man at sunset

Kriegler acknowledges additional burden to advisors resulting from regulatory changes


Firm sanctioned over capital issues, internal controls and record-keeping


Panel defers penalties while ex-rep repays clients

Stealing money

Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations