CIRO can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company. Trading halts are implemented to ensure a fair and orderly market. CIRO is the ...
Following a settlement hearing held on April 30, 2026 pursuant to the Mutual Fund Dealer Rules, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) issued their reasons for ...
An initial appearance has been scheduled before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) pursuant to the Investment Dealer ...
Peter Michael Deeb failed to halt two CIRO suspensions after the Tribunal found that he had not established irreparable harm.
TORONTO , Nov. 20, 2024 /CNW/ - The Ontario Securities Commission (OSC) today published a notice with details about its plans to delegate the registration function for investment dealers and mutual ...
CNW/ - Following a settlement hearing between Enforcement Staff and PFSL Investments Canada Ltd. (PFSL) held on March 26, ...
The move comes as its parent company, WonderFi Technologies Inc., is acquired by Robinhood Markets, Inc. Just over a year ago, Robinhood announced a deal to acquire WonderFi — which also operates the ...
The amalgamation of the self-regulatory organizations (SRO) helped position dealers for growth and innovation, and could continue to do so as the dealer rules are consolidated. At the same time, the ...
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