CIRO | Investment Executive https://www.investmentexecutive.com/tag/ciro/ Canada's news source for financial professionals Thu, 04 Dec 2025 12:11:49 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 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 Managing identity-theft risk after CIRO data breach https://www.investmentexecutive.com/news/industry-news/managing-identity-theft-risk-after-ciro-data-breach/ Thu, 04 Dec 2025 09:00:19 +0000 https://www.investmentexecutive.com/?p=526747 Tips for financial advisors — and for clients affected by other breaches

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]]> Advisor incorporation ‘a hot potato’ https://www.investmentexecutive.com/news/from-the-regulators/advisor-incorporation-a-hot-potato/ Mon, 03 Nov 2025 22:35:17 +0000 https://www.investmentexecutive.com/?p=524429 CIRO is waiting for CRA’s feedback to move ahead, while CRA says the matter falls outside its scope

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]]> Concerns follow regulators’ survey of mutual fund reps https://www.investmentexecutive.com/news/concerns-follow-regulators-survey-of-mutual-fund-reps/ Wed, 29 Oct 2025 19:35:36 +0000 https://www.investmentexecutive.com/?p=523807 Findings put bank branches’ proprietary shelves back in the spotlight, highlight lack of MER knowledge

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]]> CIRO gives $1.5M to investor education, protection non-profits https://www.investmentexecutive.com/news/ciro-gives-1-5m-to-investor-education-protection-non-profits/ Wed, 15 Oct 2025 18:21:48 +0000 https://www.investmentexecutive.com/?p=522730 Seven organizations will share the funds, collected from enforcement proceedings

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]]> OSC says it’s conducting compliance exams on sales practices at Big 5 fund dealers https://www.investmentexecutive.com/news/osc-says-its-conducting-compliance-exams-on-sales-practices-at-big-5-fund-dealers/ Fri, 10 Oct 2025 18:18:58 +0000 https://www.investmentexecutive.com/?p=522387 Regulator clarifies its response to concerns arising from survey of mutual fund reps

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]]> CIRO determines cost for its new proficiency exams https://www.investmentexecutive.com/news/from-the-regulators/ciro-determines-cost-for-its-new-proficiency-exams/ Mon, 14 Jul 2025 21:39:21 +0000 https://www.investmentexecutive.com/?p=515179 The regulator says the new exam fees will lower the cost of licensing in Canada

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]]> No more dealer’s choice as IFSE shuts its doors https://www.investmentexecutive.com/news/industry-news/no-more-dealers-choice-as-ifse-shuts-its-doors-for-good/ Mon, 30 Jun 2025 13:17:57 +0000 https://www.investmentexecutive.com/?p=513987 With only one option for mutual fund proficiency, concerns arise among dealers, education providers

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]]> Quebec bill to bring mutual fund reps under CIRO ‘rushed’, industry says https://www.investmentexecutive.com/news/from-the-regulators/quebec-bill-to-bring-mutual-fund-reps-under-ciro-rushed-industry-says/ Fri, 23 May 2025 16:15:14 +0000 https://www.investmentexecutive.com/?p=510444 Provincial government, AMF, criticized for a lack of consultation over moves

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]]> Here’s what you need to know about CIRO’s new proficiency model https://www.investmentexecutive.com/news/from-the-regulators/heres-what-you-need-to-know-about-ciros-new-proficiency-model/ Fri, 02 May 2025 14:46:21 +0000 https://www.investmentexecutive.com/?p=508770 Switch to an exam-based model is to take effect Jan. 1, 2026

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]]> CIRO takes over registration for firms, mutual fund reps in Ontario https://www.investmentexecutive.com/news/industry-news/ciro-takes-over-registration-for-firms-mutual-fund-reps-in-ontario/ Wed, 12 Mar 2025 21:02:34 +0000 https://www.investmentexecutive.com/?p=504433 The change has positive implications for reps who get terminated for an enforcement investigation, Ellen Bessner says

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