CIRO

CIRO asks for industry comments on OEO dealers serving DIY clients CIRO asks for industry comments on OEO dealers serving DIY clients

Regulation

CIRO asks for industry comments on OEO dealers serving DIY clients

Regulator is seeking to ‘get ahead of and respond to changes in how Canadians invest’

By James Langton |December 13, 2024

3 min read

Ex-fund rep used online brokers with clients Ex-fund rep used online brokers with clients

Regulation

Ex-fund rep used online brokers with clients

Rep circumvented registration limits to trade wider range of securities

By James Langton |December 9, 2024

2 min read

Ex-fund rep fined, banned over theft Ex-fund rep fined, banned over theft

Regulation

Ex-fund rep fined, banned over theft

Rep admitted to misappropriating money from investment and insurance clients

By James Langton |December 2, 2024

2 min read

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