Canadian Investment Regulatory Organization (CIRO)

The Canadian Investment Regulatory Organization (CIRO) is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments. For more information, visit https://ciro.ca.



Latest

Jan 22, 2024, 15:45 ET Decision Notice - CIRO Hearing Panel reserves judgment on hearing on the merits in the matter of Zahir Lehri

TORONTO, Jan. 22, 2024 /CNW/ - A hearing on the merits in the matter of Zahir Lehri was held before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) on November 13, 2023 and...

Jan 22, 2024, 14:30 ET Decision Notice - Capital Markets Tribunal dismisses application for review in the matter of Amin Mohammad Ali

TORONTO, Jan. 22, 2024 /CNW/ - A hearing panel of the Canadian Investment Regulatory Organization (CIRO), issued its Reasons for Decision dated March 10, 2023, in connection with a disciplinary...

Jan 22, 2024, 11:02 ET Decision Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Gilbert VanAmburg

HALIFAX, NS, Jan. 22, 2024 /CNW/ - Following a settlement hearing held on February 9, 2023, in Halifax, Nova Scotia, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under...

Jan 22, 2024, 11:00 ET CIRO cancels interim appearance scheduled in the matter of Andrew Kazina

WINNIPEG, MB, Jan. 22, 2024 /CNW/ - The Mutual Fund Dealers Association of Canada (MFDA), now Canadian Investment Regulatory Organization (CIRO), commenced a disciplinary proceeding in respect of...

Jan 15, 2024, 16:50 ET CIRO Hearing Panel reschedules dates for Hearing on the Merits in the matter of Aziz Khamisa and Antony Chau

TORONTO, Jan. 15, 2024 /CNW/ - The Canadian Investment Regulatory Organization ("CIRO") commenced a disciplinary proceeding in respect of Aziz Fatehali Khamisa and Antony Kin San Chau (collectively...

Jan 15, 2024, 15:30 ET Interim appearance scheduled in the matter of Andrew Kazina

WINNIPEG, MB, Jan. 15, 2024 /CNW/ - An interim appearance has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in the ...

Jan 12, 2024, 13:00 ET CIRO Hearing Panel issues Reasons for Decision in the matter of Robert George Watts

WINNIPEG, MB, Jan. 12, 2024 /CNW/ - Following a settlement hearing held on December 6, 2022, in Winnipeg, Manitoba, a hearing panel of the Prairie Regional Council of the Mutual Fund Dealers...

Jan 12, 2024, 11:30 ET CIRO Hearing Panel issues Reasons for Decision in the matter of Robert Weston Crocker

TORONTO, Jan. 12, 2024 /CNW/ - Following a settlement hearing held under the Investment Dealer and Partially Consolidated Rules on December 18, 2023, in Toronto, Ontario, a hearing panel of the...

Jan 12, 2024, 11:00 ET Decision Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of HSBC Securities (Canada) Inc.

TORONTO, Jan. 12, 2024 /CNW/ - Following a settlement hearing held under the Investment Dealer and Partially Consolidated Rules on December 15, 2023, in Toronto, Ontario, a hearing panel of the...

Jan 10, 2024, 14:00 ET CIRO Hearing Panel issues Reasons for Decision in the matter of Charlene Waldmo

WINNIPEG, MB, Jan. 10, 2024 /CNW/ - Following a settlement hearing held on March 8, 2023, in Winnipeg, Manitoba, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the...

Jan 09, 2024, 15:30 ET Hearing Notice - CIRO to Hold a Settlement Hearing for Michel Bédard

MONTRÉAL, Jan. 9, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) to consider under the Investment Dealer and Partially...

Jan 09, 2024, 13:30 ET CIRO to Hold a Disciplinary Hearing for Joseph Debus

TORONTO, Jan. 9, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Investment Dealer and Partially Consolidated...

Jan 09, 2024, 13:00 ET CIRO Hearing Panel issues Reasons for Decision in the matter of Vikram Jindal

TORONTO, Jan. 9, 2024 /CNW/ - Following a settlement hearing held on October 27, 2023, in Toronto, Ontario, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual...

Jan 09, 2024, 11:00 ET CIRO Hearing Panel issues Reasons for Decision in the matter of Matthew James Ewonus

VANCOUVER, BC, Jan. 9, 2024 /CNW/ - Following a settlement hearing held on March 21, 2023, in Vancouver, British Columbia, a hearing panel of the Canadian Investment Regulatory Organization (CIRO)...

Jan 05, 2024, 16:00 ET CIRO Hearing Panel reschedules penalty hearing date in the matter of Leszek Dziadecki

TORONTO, Jan. 5, 2024 /CNW/ - The Mutual Fund Dealers Association of Canada (MFDA), now Canadian Investment Regulatory Organization (CIRO), commenced a disciplinary proceeding in respect of Leszek...

Jan 05, 2024, 15:00 ET Hearing Notice - CIRO to Hold Disciplinary Hearing for Juan Carlos Saavedra

CALGARY, AB, Jan. 5, 2024 /CNW/ - An initial appearance has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules to set a ...

Jan 04, 2024, 16:00 ET CIRO Sanctions Mohammad Movassaghi

VANCOUVER, BC, Jan. 4, 2024 /CNW/ - Following a sanctions hearing held on December 12, 2023, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer...

Jan 04, 2024, 15:30 ET CIRO to Hold Disciplinary Hearing for Sandly Alteon

TORONTO, Jan. 4, 2024 /CNW/ - An initial appearance has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules to set a...

Jan 04, 2024, 13:00 ET CIRO Hearing Panel issues Reasons for Decision in the matter of Jennifer Beh

VANCOUVER, BC, Jan. 4, 2024 /CNW/ - A Hearing Panel of the Canadian Investment Regulatory Organization ("CIRO"), has issued its Reasons for Decision dated December 13, 2023 ("Reasons"), in connection ...

Jan 04, 2024, 11:30 ET CIRO to Hold Disciplinary Hearing for Joshua Emanuel Mifsud

TORONTO, Jan. 4, 2024 /CNW/ - A hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Mutual Fund Dealer Rules in a matter between...

Jan 04, 2024, 11:00 ET CIRO Sanctions HSBC Securities (Canada) Inc.

TORONTO, Jan. 4, 2024 /CNW/ - On December 15, 2023, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) accepted a settlement agreement, with sanctions, between Enforcement...

Jan 03, 2024, 14:00 ET CIRO Sanctions Robert Weston Crocker

TORONTO, Jan. 3, 2024 /CNW/ - On December 18, 2023, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) accepted a settlement agreement, with sanctions, between Enforcement...

Jan 03, 2024, 13:30 ET Investor Alert: noura-benimners

Be an informed investor - Don't be fooled by fraudsters misrepresenting themselves TORONTO, Jan. 3, 2024 /CNW/ - The Canadian Investment Regulatory Organization (CIRO) is warning Canadian investors...

Jan 03, 2024, 13:00 ET Hearing Notice - CIRO to Hold a Sanctions Hearing for Donald Warren Metcalfe

VANCOUVER, BC, Jan. 3, 2024 /CNW/ - A sanctions hearing has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) under the Investment Dealer and Partially...

Jan 02, 2024, 15:00 ET CIRO Hearing Panel accepts settlement agreement with Samantha Cauvier

TORONTO, Jan. 2, 2024 /CNW/ - A settlement hearing in the matter of Samantha Cauvier (the "Respondent") was held electronically by videoconference on December 12, 2023, in Toronto, Ontario before a...

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