Canadian Investment Regulatory Organization | Investment Executive https://www.investmentexecutive.com/post_company/canadian-investment-regulatory-organization/ Canada's news source for financial professionals Fri, 30 Jan 2026 20:55:33 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Canadian Investment Regulatory Organization | Investment Executive https://www.investmentexecutive.com/post_company/canadian-investment-regulatory-organization/ 32 32 The danger of personal dealings with clients https://www.investmentexecutive.com/news/from-the-regulators/the-danger-of-personal-dealings-with-clients/ Mon, 02 Feb 2026 13:01:55 +0000 https://www.investmentexecutive.com/?p=530768 Rep sanctioned in CIRO settlement, despite lack of harm

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]]> CIRO’s fund rep fee hike approved https://www.investmentexecutive.com/news/ciros-fund-rep-fee-hike-approved/ Thu, 29 Jan 2026 19:27:17 +0000 https://www.investmentexecutive.com/?p=530624 New $300 fee per rep set to take effect April 1

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]]> Former TD rep sanctioned for misappropriation https://www.investmentexecutive.com/news/former-td-rep-sanctioned-for-misappropriation/ Mon, 19 Jan 2026 14:33:59 +0000 https://www.investmentexecutive.com/?p=529613 Fake bank accounts used to divert funds from clients that were elderly, dead

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]]> Unprofessional conduct results in CIRO sanctions https://www.investmentexecutive.com/news/unprofessional-conduct-results-in-ciro-sanctions/ Fri, 16 Jan 2026 17:47:47 +0000 https://www.investmentexecutive.com/?p=529610 SRO failed to prove certain allegations, investor harm

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]]> Rep turned fraudster sanctioned by CIRO https://www.investmentexecutive.com/news/rep-turned-fraudster-sanctioned-by-ciro/ Fri, 16 Jan 2026 17:43:01 +0000 https://www.investmentexecutive.com/?p=529587 Regulatory action deals with subset of $1.8 million misappropriation

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]]> Proposed fine too light, CIRO panel finds https://www.investmentexecutive.com/news/proposed-fine-too-light-ciro-panel-finds/ Thu, 15 Jan 2026 22:15:23 +0000 https://www.investmentexecutive.com/?p=529541 Triple the proceeds of misconduct deemed more adequate deterrent

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]]> BCSC adds to ex-rep’s CIRO sanctions https://www.investmentexecutive.com/news/bcsc-adds-to-ex-reps-ciro-sanctions/ Thu, 15 Jan 2026 15:10:27 +0000 https://www.investmentexecutive.com/?p=529475 Former rep traded investors' discount brokerage accounts for them

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]]> Former fund rep fined, banned in used car scheme https://www.investmentexecutive.com/news/former-fund-rep-fined-banned-in-used-car-scheme/ Fri, 09 Jan 2026 17:30:52 +0000 https://www.investmentexecutive.com/?p=529018 Investors lost $9.8M on investment that turned out to be a fraud

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]]> CIRO trading increment reforms approved https://www.investmentexecutive.com/uncategorized/ciro-trading-increment-reforms-approved/ Fri, 19 Dec 2025 11:00:39 +0000 https://www.investmentexecutive.com/?p=528162 Changes allow SRO to match SEC on standards for inter-listed stocks

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]]> CIRO wants to tear down the barriers to online advice https://www.investmentexecutive.com/news/ciro-wants-to-tear-down-the-barriers-to-online-advice/ Wed, 17 Dec 2025 19:30:33 +0000 https://www.investmentexecutive.com/?p=527997 SRO launches review of policy framework for the provision of advice

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