Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Enforcement is committed to protecting investors from unfair, improper or fraudulent practices, improving investment industry standards, and strengthening market integrity. Enforcement strives to be fair, effective, and timely.
By searching for an enforcement proceeding below, you can view the notices and decisions associated with an active proceeding or the Hearing Panel decisions associated with a concluded proceeding.
CIRO Hearing Panel decisions, and decisions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada are available free of charge on CanLii (the Canadian Legal Information Institute).