Highlights of CIRO’s 2022 – 23 Enforcement Report


Continuing Education Credit

Compliance CE credit : 0.50

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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.

Program Details

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Welcome to CIRO.ca!

We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.

You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).

We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.