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Investment industry regulator plans to use new enforcement tools to return money directly to investors

Vancouver-based Fortrade Canada Ltd. accepts settlement agreement with CIRO which saw the online trading company agree to establish a compensation fund to directly return money to investors

Elsa renzellaFortrade canada ltdCanadian investment regulatory organizationLog increate freeVancouver based fortrade canadaCanadian securities administrators

CIRO drops harmonized sanctions guidance | Investment Executive

SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

Elsa renzella

CIRO publishes harmonized Sanction Guidelines and Enforcement Staff Policy Statements

CIRO publishes harmonized Sanction Guidelines and Enforcement Staff Policy Statements
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Elsa renzellaInvestment industry regulatory organization of canadaMutual fund dealers association of canadaCanadian investment regulatory organizationSanction guidelinesEnforcement staff policyInvestment industry regulatory organizationMutual fund dealers associationEnforcement staff policy statementsEnforcement staffResolution offersPermanent barsDealer memberDealer members

CIRO drops harmonized sanctions guidance

SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

Elsa renzellaJames langtonInvestment industry regulatory organization of canadaMutual fund dealers association of canadaCanadian investment regulatory organizationMutual fund dealers associationInvestment industry regulatory organization

Complaint volumes surging, CIRO reports

Collections plunge as hefty sanctions are handed out

Elsa renzellaJames langtonCanadian investment regulatory organization