CIRO sanctioned Clarus Securities Inc. for gatekeeper failures. Clarus admitted it had failed to adequately supervise and monitor...
CN Editor
October 11, 2024
CIRO ALLEGES HARBOURFRONT WEALTH MANAGEMENT REP FAILED TO USE DUE DILIGENCE TO ENSURE INVESTMENT RECOMMENDATIONS WERE SUITABLE FOR CLIENTS
QUEBEC COURT TO CONSIDER CIRO BREACH SETTLEMENT
CIRO ELECTS MARC PROVOST TO BOARD OF DIRECTORS, RE-ELECTS RHONDA GOLDBERG
INVESTOR ALERT: FRAUDSTERS IMPERSONATING RESEARCH CAPITAL CORPORATION AND FALSELY CLAIMING CIRO AFFILIATION
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RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
ADVISOR SANCTIONED FOR TAKING CLIENT INFO
CLIENT FOCUSED REFORMS (CFR) - TARGETED COMPLIANCE GUIDANCE: PRACTICAL STEPS TO HELP DEALER MEMBERS ("DEALERS") AND APPROVED PERSONS ("APS") MEET THEIR REGULATORY OBLIGATIONS AND PROTECT INVESTORS