Based on data received from each marketplace through the regulatory feed, CIRO has compiled monthly information on the trading ac...
CN Editor
October 08, 2026
CIRO MEMBER AMALGAMATION - IPC INVESTMENT CORPORATION & QUADRUS INVESTMENT SERVICES LTD.
CIRO MEMBER AMALGAMATION - STONEX FINANCIAL (CANADA) INC. & R.J. O"BRIEN & ASSOCIATES CANADA INC.
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
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RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
FATF/APG MUTUAL EVALUATION REPORT OF CANADA 2026
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
ADVISOR SANCTIONED FOR TAKING CLIENT INFO