Regulators

CIRO to get new powers and larger fines in Ontario if legislation passes

Currently the regulator's powers are limited compared to six other provinces

CIRO to get new powers and larger fines in Ontario if legislation passes

CIRO fines two advisors for misconduct at former dealer

Two advisors fined after CIRO found improper use of client forms during tenure at Investia Financial

CIRO fines two advisors for misconduct at former dealer

FAIR Canada CEO argues binding OBSI powers are good for industry

Jean-Paul Bureaud outlines his organization’s support for CSA proposal which would see OBSI given wider oversight powers

FAIR Canada CEO argues binding OBSI powers are good for industry

CIRO fines firm and representative $400k over undisclosed offshore control transfer

CIRO says firm failed to act on red flags as offshore entity control shifted without disclosure

CIRO fines firm and representative $400k over undisclosed offshore control transfer

CIRO fines Nanaimo advisor $1 million for defrauding elderly clients

Nearly $6 million misappropriated from five clients before CIRO issued a permanent industry ban

CIRO fines Nanaimo advisor $1 million for defrauding elderly clients

Consumer advocates coalition warns against weakening investor protection

Group says OBSI binding decisions should not face judicial appeals

Consumer advocates coalition warns against weakening investor protection