Investment Industry Regulatory Organization of Canada – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 26 Jan 2024 21:19:19 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Investment Industry Regulatory Organization of Canada – Investment Executive https://www.investmentexecutive.com 32 32 Tribunal trims sanctions against former rep https://www.investmentexecutive.com/news/from-the-regulators/tribunal-trims-sanctions-against-former-rep/ Fri, 26 Jan 2024 21:19:19 +0000 https://www.investmentexecutive.com/?p=479364 After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders

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]]> CIRO sanctions dealer’s supervisory lapses https://www.investmentexecutive.com/news/from-the-regulators/ciro-sanctions-dealers-supervisory-lapses/ Thu, 21 Dec 2023 22:11:28 +0000 https://www.investmentexecutive.com/?p=477800 Calgary's Leede Jones Gable fined $150,000 for oversight failings

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]]> CIRO drops harmonized sanctions guidance https://www.investmentexecutive.com/news/from-the-regulators/ciro-drops-harmonized-sanctions-guidance/ Thu, 21 Dec 2023 21:57:26 +0000 https://www.investmentexecutive.com/?p=477784 SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

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]]> CIRO takes step toward consolidated dealer rules https://www.investmentexecutive.com/news/from-the-regulators/ciro-takes-step-toward-consolidated-dealer-rules/ Fri, 20 Oct 2023 20:32:43 +0000 https://www.investmentexecutive.com/?p=473795 New SRO aims to harmonize requirements for fund dealers and investment dealers

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]]> Tribunal finds SRO panel erred https://www.investmentexecutive.com/news/from-the-regulators/tribunal-finds-sro-panel-erred/ Mon, 16 Oct 2023 20:18:39 +0000 https://www.investmentexecutive.com/?p=473421 The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it

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]]> With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher https://www.investmentexecutive.com/news/from-the-regulators/with-costs-projected-to-increase-9-in-fiscal-2024-ciros-fees-are-also-heading-higher/ Tue, 26 Sep 2023 18:14:12 +0000 https://www.investmentexecutive.com/?p=472211 Fees for investment dealers to rise 6.4%, annual report says

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]]> CIRO seeks margin rules for PPNs https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-margin-rules-for-ppns/ Thu, 20 Jul 2023 21:19:28 +0000 https://www.investmentexecutive.com/?p=469044 Proposal revises conservative approach initially sought by IIROC

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]]> CIRO tackling array of high-profile policy challenges https://www.investmentexecutive.com/news/from-the-regulators/ciro-tackling-array-of-high-profile-policy-challenges/ Tue, 30 May 2023 17:56:54 +0000 https://www.investmentexecutive.com/?p=466447 Commission structures, account transfer standards and dual registration are all in the works

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]]> BCSC to start handing out tickets https://www.investmentexecutive.com/news/from-the-regulators/bcsc-to-start-handing-out-tickets/ Thu, 27 Apr 2023 17:58:35 +0000 https://www.investmentexecutive.com/?p=464516 Regulator will issue penalties, without hearings, for minor rule violations

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]]> SRO proposes T+1 rule changes https://www.investmentexecutive.com/news/from-the-regulators/sro-proposes-t1-rule-changes/ Thu, 20 Apr 2023 19:55:21 +0000 https://www.investmentexecutive.com/?p=464229 Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle

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