Canadian Investment Regulatory Organization | Investment Executive Canada's news source for financial professionals Wed, 29 Apr 2026 13:29:18 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://old.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Canadian Investment Regulatory Organization | Investment Executive 32 32 CFTC asserts oversight of prediction markets https://old.investmentexecutive.com/news/cftc-asserts-oversight-of-prediction-markets/ Wed, 29 Apr 2026 13:29:18 +0000 https://www.investmentexecutive.com/?p=537452 In series of legal filings, regulator claims exclusive jurisdiction

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]]> CIRO settles with PFSL over supervisory issues https://old.investmentexecutive.com/news/ciro-settles-with-pfsl-over-supervisory-issues/ Wed, 22 Apr 2026 17:19:05 +0000 https://www.investmentexecutive.com/?p=536925 Reps allegedly took $1 million from an elderly client

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]]> CIRO issues phase two of CE reform proposals https://old.investmentexecutive.com/news/ciro-issues-phase-two-of-ce-reform-proposals/ Thu, 16 Apr 2026 20:37:41 +0000 https://www.investmentexecutive.com/?p=536496 Proposals out for 90-day comment period, final regime slated for Jan. 1, 2028

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]]> NBF sanctioned for supervisory shortcomings https://old.investmentexecutive.com/news/nbf-sanctioned-for-supervisory-shortcomings/ Mon, 13 Apr 2026 15:50:35 +0000 https://www.investmentexecutive.com/?p=536041 Firm failed to pay attention to red flags in rep's trading activity

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]]> CIRO seeks to tackle persistent policy challenges https://old.investmentexecutive.com/news/ciro-seeks-to-tackle-persistent-policy-challenges/ Wed, 08 Apr 2026 21:05:03 +0000 https://www.investmentexecutive.com/?p=535816 SRO sets out regulatory agenda for year ahead

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]]> CIRO proposes short-selling reforms https://old.investmentexecutive.com/news/from-the-regulators/ciro-proposes-short-selling-reforms/ Thu, 02 Apr 2026 20:53:04 +0000 https://www.investmentexecutive.com/?p=535513 SRO drops mandatory close-out proposal, adds new conduct-based approach

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]]> CIRO wraps guidance update project https://old.investmentexecutive.com/news/ciro-wraps-guidance-update-project/ Fri, 27 Mar 2026 20:28:30 +0000 https://www.investmentexecutive.com/?p=535103 SRO issues revisions to gatekeeper, trading supervision obligations

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]]> Short-selling dealers stay secret https://old.investmentexecutive.com/news/short-selling-dealers-stay-secret/ Fri, 27 Mar 2026 20:20:08 +0000 https://www.investmentexecutive.com/?p=534995 IPC upholds OSC decision to preserve privacy of dealers in failed trade study

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]]> CIRO breach has advisors on high alert https://old.investmentexecutive.com/news/from-the-regulators/ciro-breach-has-advisors-on-high-alert/ Fri, 19 Sep 2025 20:38:02 +0000 https://www.investmentexecutive.com/?p=520385 Compromised data is starting to show up on the dark web

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]]> CIRO determines cost for its new proficiency exams https://old.investmentexecutive.com/news/from-the-regulators/ciro-determines-cost-for-its-new-proficiency-exams/ Mon, 14 Jul 2025 21:39:21 +0000 https://www.investmentexecutive.com/?p=515179 The regulator says the new exam fees will lower the cost of licensing in Canada

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