Regulators

CIRO fines and suspends rep over $8.7 million client losses in futures trading

CIRO suspends Vancouver-based representative and orders $225,000 disgorgement after settlement

CIRO fines and suspends rep over $8.7 million client losses in futures trading

CIRO sets 10-day deadline to fix transfer delays and modernize outdated processes

Proposed rules would mandate automation and real-time tracking to reduce client frustration

CIRO sets 10-day deadline to fix transfer delays and modernize outdated processes

FinTRAC hits Canaccord with penalty over missed red flags on suspicious transactions

Canaccord paid $544,500 after FinTRAC cited failures in reporting and risk oversight compliance

FinTRAC hits Canaccord with penalty over missed red flags on suspicious transactions

CIRO issues $1.5 million penalty and permanent ban over client fund misappropriation

Advisor barred and fined for failing to cooperate and changing account beneficiaries without consent

CIRO issues $1.5 million penalty and permanent ban over client fund misappropriation

CIRO imposes $10.3 million in sanctions amid rise in contested cases

CIRO completes 176 investigations and concludes 57 cases in 2025 fiscal year crackdown

CIRO imposes $10.3 million in sanctions amid rise in contested cases

CIRO bans representative for falsifying client signatures and misleading investigation

Panel issues two-year ban and $25,000 penalty after 356 forms submitted with fake electronic signatures

CIRO bans representative for falsifying client signatures and misleading investigation