Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2004. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Highlights of CIRO’s 2022 – 23 Enforcement Report
Project Details:
Enforcement plays a key role in our mission to support investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments. CIRO’s Enforcement team is committed to pursuing cases that prevent future wrongdoing and improve industry standards and practices.
The webcast features CIRO’s Charles Corlett, Vice-President, Enforcement (Investment Dealers), Charles Toth, Vice-President, Enforcement (Mutual Fund Dealers), and Joanna Nicholson, Manager, Corporate Communications and Public Affairs as the moderator. In this session, participants will:
- Provide an overview of enforcement’s priorities and goals;
- Discuss key achievements and results; and
- Touch upon some of the themes of the cases highlighted in the Enforcement Report.