Company: Canadian Investment Regulatory Organization

68 results found
Judge looks at papers

The panel found a rep's misconduct to be serious, but not fraudulent or deceitful

Closeup of mallet being hit on stacked coins at table in courtroom

Former rep admitted to misappropriation

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

After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders

man working on laptop

SRO consults on options for resolving long-standing regulatory disparity

Court.

Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged

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