Company: Canadian Investment Regulatory Organization

53 results found
new rules

First phase of reforms to take effect Sept. 28

stock market data

Self-regulatory organization proposes new settlement obligation and expanded guidance

gavel

Rep recruited tenant as a client without firm's permission

gavel

Certain clients overcharged, others undercharged, due to recordkeeping glitch

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Calgary's Leede Jones Gable fined $150,000 for oversight failings

Air raid sirens

SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

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