The explanations for the listening to panel’s resolution, dated September 9, are accessible at Re Gravitas 2024 CIRO 69.
CIRO features as the nationwide self-regulatory physique for funding and mutual fund sellers and oversees buying and selling on Canada’s debt and fairness marketplaces. It goals to guard traders by making certain constant regulation and fostering public belief in monetary oversight.
Data on disciplinary proceedings, together with these associated to member corporations and particular person registrants beneath the Funding Seller and Partially Consolidated Guidelines, the Mutual Fund Seller Guidelines, and the Common Market Integrity Guidelines (UMIR), is on the market on CIRO’s web site.
CIRO gives entry to disciplinary histories and advisor {qualifications} via its AdvisorReport service. Grievance procedures associated to sellers, advisors, or marketplaces are accessible by calling 1-877-442-4322.
CIRO is answerable for investigating potential misconduct by its members and registrants, which can end in sanctions similar to fines, suspensions, or the termination of rights and privileges.
