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).
Fines, a proficiency overhaul and a cyber lawsuit all feature in CIRO's year-end wrap
Hearing panels handed down 10 permanent bars and 16 suspensions across 39 decisions
The independent review of OBSI is in - and it feeds a bigger shift for advisers
SIMA's July 2026 submission calls for CERTS as the prescribed reporting system and individual-level CE accountability
Proposed rule changes would end a long-standing gap in compensation structure between mutual fund and investment dealer advisors across Canada
The board has hired Russell Reynolds to lead the search for a successor
Advisor compensation, a regulatory sandbox and cyber resilience also make the cut
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
