Canadian Investment Regulatory Organization | Investment Executive https://www.investmentexecutive.com/post_company/canadian-investment-regulatory-organization/ Canada's news source for financial professionals Wed, 03 Dec 2025 22:32:17 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 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 to issue final dealer rules in February https://www.investmentexecutive.com/news/ciro-to-issue-final-dealer-rules-in-february/ Wed, 03 Dec 2025 22:32:17 +0000 https://www.investmentexecutive.com/?p=526952 Final consultation on merged dealer rules will get 120-day comment period

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]]> Edward Jones settles client overcharging case https://www.investmentexecutive.com/news/edward-jones-settles-client-overcharging-case/ Tue, 02 Dec 2025 20:41:51 +0000 https://www.investmentexecutive.com/?p=526775 Firm paid $4.6 million in client compensation, clawed back reps' fees

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]]> Manitoba regulator upholds CIRO enforcement rulings https://www.investmentexecutive.com/news/manitoba-regulator-upholds-ciro-enforcement-rulings/ Fri, 28 Nov 2025 20:59:28 +0000 https://www.investmentexecutive.com/?p=526585 MSC finds no error with panel's findings against former fund rep

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]]> CIRO undertakes phase two of guidance reno https://www.investmentexecutive.com/news/from-the-regulators/ciro-undertakes-phase-two-of-guidance-reno/ Thu, 06 Nov 2025 18:43:01 +0000 https://www.investmentexecutive.com/?p=524772 Project aims to ease trading rule compliance, not alter requirements

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]]> CIRO awaiting CRA feedback on advisor corporations https://www.investmentexecutive.com/news/ciro-awaiting-cra-feedback-on-advisor-corporations/ Wed, 29 Oct 2025 17:34:55 +0000 https://www.investmentexecutive.com/?p=523998 SRO crafting model to allow reps to use personal corporations

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]]> CIRO shelves client data project https://www.investmentexecutive.com/news/ciro-shelves-client-data-project/ Wed, 22 Oct 2025 16:34:22 +0000 https://www.investmentexecutive.com/?p=523324 Regulator puts twice-delayed research effort on backburner

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]]> BCSC to join CIRO registration delegation https://www.investmentexecutive.com/news/bcsc-to-join-ciro-registration-delegation/ Fri, 17 Oct 2025 17:11:23 +0000 https://www.investmentexecutive.com/?p=522904 Move would give SRO full responsibility for registering dealers, reps

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]]> OSC denies EMD registration to crypto firm https://www.investmentexecutive.com/news/from-the-regulators/osc-denies-emd-registration-to-crypto-firm/ Fri, 17 Oct 2025 05:32:20 +0000 https://www.investmentexecutive.com/?p=522833 Regulator rejects the idea of "bespoke" regulation for firms

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]]> CIRO to change how it funds registration https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-change-how-it-funds-registration/ Thu, 09 Oct 2025 05:51:41 +0000 https://www.investmentexecutive.com/?p=522256 Large fund dealers, with high rep numbers, to bear brunt of higher annual fee

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]]> What to expect when filing on ComSet https://www.investmentexecutive.com/news/what-to-expect-when-filing-on-comset/ Mon, 06 Oct 2025 21:15:18 +0000 https://www.investmentexecutive.com/?p=522016 CIRO issues new guidance on complaint filing requirements

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