CIRO | Investment Executive https://www.investmentexecutive.com/tag/ciro/ Canada's news source for financial professionals Fri, 20 Mar 2026 14:03:02 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png CIRO | Investment Executive https://www.investmentexecutive.com/tag/ciro/ 32 32 CIRO set to launch disgorgement payout program https://www.investmentexecutive.com/news/ciro-set-to-launch-disgorgement-payout-program/ Fri, 20 Mar 2026 14:03:02 +0000 https://www.investmentexecutive.com/?p=534344 Harmed investors will be able to make claims for share of sanctions, April 1

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]]> CIRO fines National Bank Financial $1M for inadequate supervision of rep https://www.investmentexecutive.com/news/ciro-fines-national-bank-financial-1m-for-inadequate-supervision-of-rep/ Fri, 13 Mar 2026 20:13:27 +0000 https://www.investmentexecutive.com/?p=533773 SRO says high risk, high volume trades, insufficient notes should have raised red flags

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]]> CIRO provides clarity on decision-making tools in DIY channel https://www.investmentexecutive.com/news/ciro-provides-clarity-on-decison-making-tools-in-diy-channel/ Thu, 12 Mar 2026 19:25:13 +0000 https://www.investmentexecutive.com/?p=533701 New guidance broadens range of supports that discount brokers can provide

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]]> CIRO approves TD, RBC for tokenized bonds experiment https://www.investmentexecutive.com/news/ciro-approves-td-rbc-for-tokenized-bonds-experiment/ Mon, 09 Mar 2026 16:03:47 +0000 https://www.investmentexecutive.com/?p=533438 Test will use BoC-issued wholesale digital dollars

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]]> Ex-Equifax employee alleges firm allowed fraudulent access to credit file https://www.investmentexecutive.com/news/ex-equifax-employee-alleges-firm-allowed-fraudulent-access-to-credit-file/ Fri, 06 Mar 2026 14:09:51 +0000 https://www.investmentexecutive.com/?p=533248 Allegations serve as reminder to investors affected by CIRO breach to review inquiries to their credit reports

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]]> Big banks’ blockchain test a mixed bag https://www.investmentexecutive.com/news/big-banks-blockchain-test-a-mixed-bag/ Thu, 05 Mar 2026 21:01:27 +0000 https://www.investmentexecutive.com/?p=533247 Project reveals how potential gains are offset by added risks, costs

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]]> Investors frustrated by credit bureau’s call centre following CIRO data breach https://www.investmentexecutive.com/news/investors-frustrated-by-credit-bureaus-call-centre-following-ciro-data-breach/ Fri, 27 Feb 2026 19:25:45 +0000 https://www.investmentexecutive.com/?p=532681 For some, signing up for credit monitoring requires several attempts

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]]> CIRO faces second potential class action following data breach https://www.investmentexecutive.com/news/ciro-faces-second-potential-class-action-following-data-breach/ Wed, 18 Feb 2026 20:13:16 +0000 https://www.investmentexecutive.com/?p=532026 Investor, former registrant allege regulator was negligent in protecting personal data

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]]> CIRO addresses cybersecurity, AI, CFR gaps and more https://www.investmentexecutive.com/news/ciro-addresses-cybersecurity-ai-cfr-gaps-and-more/ Tue, 17 Feb 2026 21:38:50 +0000 https://www.investmentexecutive.com/?p=531928 Annual compliance report emphasizes need for continuous cybersecurity training for dealer staff

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]]> Clients’ questions about CIRO data breach fall to advisors, dealers https://www.investmentexecutive.com/news/clients-questions-about-ciro-data-breach-fall-to-advisors-dealers/ Tue, 17 Feb 2026 18:31:19 +0000 https://www.investmentexecutive.com/?p=531656 “We can’t answer the questions that clients are asking,” dealer says

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