This Guidance Note provides guidance on when the Canadian Investment Regulatory Organization (CIRO) would consider a Participant ...
CN Editor
August 20, 2025
CIRO GUIDANCE ON BEST EXECUTION
CIRO GUIDANCE ON "SHORT SALE" AND "SHORT-MARKING EXEMPT" ORDER DESIGNATIONS
SOLICITATION OF CLIENT ORDERS DURING A RESTRICTED PERIOD
AVOIDING DOUBLE PRINTING IN THE USE OF AN ERROR ACCOUNT
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OSC AND CIRO REPORT HIGHLIGHTS SALES CULTURE CONCERNS AT CANADA"S LARGEST BANK-AFFILIATED DEALERS
STEPHANE GAGNON SENTENCED TO FIVE YEARS AND ORDERED TO PAY OVER $7.75 MILLION
INVESTOR MISSES INVESTMENT OPPORTUNITY DUE TO FIRM"S MISCOMMUNICATION
CIRO PROFICIENCY MODEL FOR APPROVED PERSONS UNDER THE INVESTMENT DEALER AND PARTIALLY CONSOLIDATED RULES - EXAM FEES