Regulators

CIRO highlights investor protection in 2023-2024 enforcement report

CIRO's latest report details efforts to protect investors, enhance standards, and strengthen market integrity

CIRO highlights investor protection in 2023-2024 enforcement report

CIRO panel fines, suspends advisor for PAC plan alterations

Advisor faces a 12-month prohibition and fines for unauthorized account activities

CIRO panel fines, suspends advisor for PAC plan alterations

CRA's bare trust filing reversal sparks investigation

The Taxpayers' Ombudsperson investigates CRA's last-minute reversal, addressing taxpayer and advisor concerns

CRA's bare trust filing reversal sparks investigation

Jailed for 4 years: Canadian hedge fund trader must also pay $3.9M in restitutions

Investors were provided with faked returns amid fraudulent activity

Jailed for 4 years: Canadian hedge fund trader must also pay $3.9M in restitutions

New Canadian rules limit foreign takeovers of mining firms

Analysts predict lower valuations for Canada's top metals producers due to new restrictions on foreign takeovers

New Canadian rules limit foreign takeovers of mining firms

Former Ontario dealing rep fined $1 million by CIRO

Misappropriation of client funds accounted for most of the penalty

Former Ontario dealing rep fined $1 million by CIRO