Updates to the Guidance Note are being made as part of the UMIR Guidance Update Project. This project is to make non-material cha...
CN Editor
November 06, 2025
CIRO ALLEGES MISAPPROPRIATION BY FORMER SCOTIA SECURITIES REP FROM BURLINGTON, ON
CSA PUBLISHES UPDATED CYBERSECURITY FINDINGS AND GUIDANCE FOR REGISTERED FIRMS
CIRO SANCTIONS FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
CIRO MEMBER NAME CHANGE: FIRST NATIONS FINANCIAL MARKETS LIMITED PARTNERSHIP
Thank you for the feedback!!
CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS