In 2023, the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) were combined to form a new entity: the Canadian Investment Regulatory Organization (CIRO).
Regulatory panel reviews case alongside prior ruling on similar undisclosed business activities
CIRO's compliance report outlines regulatory changes, risk assessments, and integration efforts for 2025
Fraudsters use fake CIRO letterheads to demand fees; investors urged to verify claims and report scams
The sanctions follow findings of client fund misuse and misleading compliance reports
Those looking to expand their expertise in securities or break into finance may want to consider the Canadian Securities Course. Know more here
CSA and CIRO stress compliance for crypto trading platforms, emphasizing registration and CIRO membership
CIRO's latest report details efforts to protect investors, enhance standards, and strengthen market integrity
Canada's investment industry regulator has a spot on its advisory panel
Financial Services Regulatory Authority of Ontario (FSRA) unveils SRO as fifth credentialing body
Getting a mutual funds licence is an important first step before trading in mutual funds in Canada. It also provides other benefits - read this article to know more
