Currently, investment dealer members are required to provide the “Making a Complaint” and “How Can I Get My Money Back” brochures...
CN Editor
March 27, 2024
CIRO LAUNCHES REVIEW TO IMPROVE ACCESS TO AFFORDABLE, TAILORED ONLINE INVESTMENT ADVICE
NEW WEBCAST: DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES
CIRO SANCTIONS HAYWOOD SECURITIES INC. FOR SUPERVISION FAILURES
CIRO SANCTIONS FORMER CIBC SECURITIES INC. REP FROM EDMONTON, AB
Thank you for the feedback!!
CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
GUIDANCE ON DOUBLE PRINTING