Registration | Investment Executive https://www.investmentexecutive.com/tag/registration/ Canada's news source for financial professionals Tue, 17 Feb 2026 21:38:50 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.1 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Registration | Investment Executive https://www.investmentexecutive.com/tag/registration/ 32 32 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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]]> CIRO ready to end dual-dealer model https://www.investmentexecutive.com/news/ciro-ready-to-end-dual-dealer-model/ Thu, 12 Feb 2026 19:00:53 +0000 https://www.investmentexecutive.com/?p=531585 SRO proposes consolidated rulebook, alongside end to dual registration

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]]> FINTRAC fines firms for compliance failings https://www.investmentexecutive.com/news/fintrac-fines-firms-for-compliance-failings/ Thu, 05 Feb 2026 20:07:28 +0000 https://www.investmentexecutive.com/?p=531191 Agency sanctions breaches of anti-money laundering rules

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]]> CIRO’s fund rep fee hike approved https://www.investmentexecutive.com/news/ciros-fund-rep-fee-hike-approved/ Thu, 29 Jan 2026 19:27:17 +0000 https://www.investmentexecutive.com/?p=530624 New $300 fee per rep set to take effect April 1

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]]> Tribunal bans trader, after the first ban didn’t take https://www.investmentexecutive.com/news/tribunal-bans-trader-after-the-first-ban-didnt-take/ Mon, 26 Jan 2026 18:41:15 +0000 https://www.investmentexecutive.com/?p=530238 Initial sanction allowed RRSP, but he traded TFSA, margin accounts too

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]]> Executive banned in failed real estate scheme https://www.investmentexecutive.com/news/executive-banned-in-failed-real-estate-scheme/ Fri, 19 Dec 2025 19:56:40 +0000 https://www.investmentexecutive.com/?p=528215 OSC forgoes monetary sanctions, amid bankruptcy, ongoing litigation

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]]> Court rejects attempt to revive lawsuit against rep, RBC DS https://www.investmentexecutive.com/news/court-rejects-attempt-to-revive-lawsuit-against-rep-rbc-ds/ Wed, 03 Dec 2025 20:29:55 +0000 https://www.investmentexecutive.com/?p=526930 Investor tried to argue that rep's title misled the courts

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]]> Court rejects FSRA appeal on agent’s licensing https://www.investmentexecutive.com/news/court-rejects-fsra-appeal-on-agents-licensing/ Fri, 28 Nov 2025 21:59:06 +0000 https://www.investmentexecutive.com/?p=526590 Tribunal made no error in overruling regulator, court finds

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]]> EMD exemption falls flat, CSA asks why https://www.investmentexecutive.com/news/emd-exemption-falls-flat-csa-asks-why/ Thu, 27 Nov 2025 19:52:35 +0000 https://www.investmentexecutive.com/?p=526475 Regulators seek feedback on initiative that sparked little activity

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]]> SEC’s crypto enthusiasm poses risks to investors: WFE https://www.investmentexecutive.com/news/secs-crypto-enthusiasm-poses-risks-to-investors-wfe/ Thu, 27 Nov 2025 18:19:50 +0000 https://www.investmentexecutive.com/?p=526449 Group calls on regulator to keep crypto relief focused, limited

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