Canadian Investment Regulatory Organization | Investment Executive https://www.investmentexecutive.com/post_company/canadian-investment-regulatory-organization/ Canada's news source for financial professionals Fri, 20 Mar 2026 14:03:02 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 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 CIRO set to launch disgorgement payout program https://www.investmentexecutive.com/news/ciro-set-to-launch-disgorgement-payout-program/ Fri, 20 Mar 2026 14:03:02 +0000 https://www.investmentexecutive.com/?p=534344 Harmed investors will be able to make claims for share of sanctions, April 1

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]]> Ex-rep sentenced in fraud case https://www.investmentexecutive.com/news/ex-rep-sentenced-in-fraud-case/ Mon, 16 Mar 2026 19:53:37 +0000 https://www.investmentexecutive.com/?p=533932 Investors lost nearly $1.4 million in long-running fraud

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]]> Big banks’ blockchain test a mixed bag https://www.investmentexecutive.com/news/big-banks-blockchain-test-a-mixed-bag/ Thu, 05 Mar 2026 21:01:27 +0000 https://www.investmentexecutive.com/?p=533247 Project reveals how potential gains are offset by added risks, costs

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]]> CIRO issues series of guidance updates https://www.investmentexecutive.com/uncategorized/ciro-issues-series-of-guidance-updates/ Tue, 24 Feb 2026 09:00:39 +0000 https://www.investmentexecutive.com/?p=532381 SRO modernizes market regulation guidance

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]]> CIRO calls for boost to independent director limits https://www.investmentexecutive.com/news/ciro-calls-for-boost-to-independent-director-limits/ Thu, 19 Feb 2026 20:58:25 +0000 https://www.investmentexecutive.com/?p=532156 SRO wants to give outside directors more time on the job

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]]> CIRO sanctions firm, exec for trading misconduct https://www.investmentexecutive.com/news/ciro-sanctions-firm-exec-for-trading-misconduct/ Thu, 19 Feb 2026 14:15:12 +0000 https://www.investmentexecutive.com/?p=532076 Panel issues fines, disgorgement, along with suspensions

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]]> CIRO faces second potential class action following data breach https://www.investmentexecutive.com/news/ciro-faces-second-potential-class-action-following-data-breach/ Wed, 18 Feb 2026 20:13:16 +0000 https://www.investmentexecutive.com/?p=532026 Investor, former registrant allege regulator was negligent in protecting personal data

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]]> CIRO ready to end dual-dealer model https://www.investmentexecutive.com/news/ciro-ready-to-end-dual-dealer-model/ Thu, 12 Feb 2026 19:00:53 +0000 https://www.investmentexecutive.com/?p=531585 SRO proposes consolidated rulebook, alongside end to dual registration

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]]> 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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