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CIRO REGIONAL COUNCILS - CALL FOR NOMINATION

Annually, members of CIRO Regional Councils invite Dealer Members to nominate candidates for election to the Regional Councils in each Region1 where the Dealer Member has offices. The Regional Counci...

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CIRO
CIRO SANCTIONS NATIONAL BANK FINANCIAL INC. FOR INADEQUATE SUPERVISION
March 16, 2026

CIRO sanctioned National Bank Financial Inc. for failure to adequately supervise a Registered Representative with respect to note...

CIRO
CIRO SANCTIONS VIRTU CANADA CORP. FOR MARKETPLACE VIOLATIONS
March 16, 2026

CIRO sanctioned Virtu Canada Corp for failure to immediately display client orders to buy or sell 50 standard trading units or le...

CFTC
CFTC SECURES JUDGEMENT AGAINST NEW YORK COMPANIES TO PAY OVER $2.4 MILLION IN RESTITUTION, PENALITIES FOR FOREX FRAUD
March 16, 2026

The Commodity Futures Trading Commission announced the U.S. District Court for the Eastern District of New York entered a default...

FCA
FCA BANS KASIM GARIPOGLU FROM WORKING IN UK FINANCIAL SERVICES
March 16, 2026

Kasim Garipoglu has been banned from working in UK financial services. The FCA found he is not fit and proper because of his lack...

CIRO
GUIDANCE ON ORDER EXECUTION ONLY ACCOUNT SERVICES AND ACTIVITIES
March 13, 2026

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance regarding the ability of Investment Dealer Members ...

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