Each year CIRO’s Board of Directors (the Board) and staff consider and, in appropriate cases, grant exemptions from specific Inve...
CN Editor
November 25, 2024
CIRO SANCTIONS FORMER ASSANTE CAPITAL MANAGEMENT REP FROM VANCOUVER, BC
CIRO SANCTIONS FORMER PFSL INVESTMENTS CANADA LTD REP FROM CALGARY, ALBERTA
CIRO SANCTIONS FORMER INVESTORS GROUP REP FROM WINNIPEG, MANITOBA
CIRO SANCTIONS FORMER STIFEL NICOLAUS CANADA REP FROM TORONTO, ON
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CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
ONTARIO FIRM PAYS $60,000 FOR COMPLIANCE DEFICIENCIES
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
EXEMPTIONS GRANTED BY CIRO IN 2023