Canadian Investment Regulatory Organization | Investment Executive https://www.investmentexecutive.com/post_company/canadian-investment-regulatory-organization/ Canada's news source for financial professionals Wed, 17 Dec 2025 19:30:33 +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 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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]]> CIRO settles with dealer for oversight lapse https://www.investmentexecutive.com/uncategorized/ciro-settles-with-dealer-for-oversight-lapse/ Wed, 17 Dec 2025 13:00:55 +0000 https://www.investmentexecutive.com/?p=527901 External provider stopped including CSE stocks in trading reports

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]]> Panel rejects CIRO case against reps, again https://www.investmentexecutive.com/news/from-the-regulators/panel-rejects-ciro-case-against-reps-again/ Tue, 16 Dec 2025 14:32:12 +0000 https://www.investmentexecutive.com/?p=527782 BCSC sent case back to SRO panel, which dismissed allegations

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]]> Rep’s misconduct shouldn’t be career ending: SRO https://www.investmentexecutive.com/news/from-the-regulators/reps-misconduct-shouldnt-be-career-ending-sro/ Mon, 15 Dec 2025 21:13:59 +0000 https://www.investmentexecutive.com/?p=527774 Breach not worthy of year-long suspension, CIRO panel finds

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]]> CSA, CIRO launch scam website takedown https://www.investmentexecutive.com/news/from-the-regulators/csa-ciro-launch-scam-website-takedown/ Thu, 11 Dec 2025 19:23:58 +0000 https://www.investmentexecutive.com/?p=527553 Regulators attack scourge of online scams at the source

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]]> Industry falling short on CFR compliance: CSA, CIRO https://www.investmentexecutive.com/news/from-the-regulators/industry-falling-short-on-cfr-compliance-csa-ciro/ Wed, 10 Dec 2025 17:50:45 +0000 https://www.investmentexecutive.com/?p=527418 Review documents failings in meeting KYC, KYP, suitability requirements

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]]> 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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