Enforcement plays a key role in IIROC's pursuit to protect investors and support healthy capital markets.
For more information, see our Guide to the Enforcement Process and our annual Enforcement Report.
By searching for an enforcement proceeding below, you can view the notices and decisions associated with an active proceeding or the IIROC Hearing Panel decisions associated with a concluded proceeding.
In addition, IIROC Hearing Panel reasons issued since June 2008 are available free of charge on CanLii (the Canadian Legal Information Institute).
Enforcement Notice News Releases
| 23-0184
Notice type: Hearing| 23-0185
Notice type: Decision| 23-0183
Notice type: Hearing| 23-0189
CIRO Hearing Panel issues Reasons for Decision in the matter of Gravitas Securities and Blayne CreedNotice type: Decision| 23-0181
Notice type: Decision| 23-0182
Notice type: Hearing| 23-0172
Notice type: Hearing
Filter enforcement proceedings by...
Date Commenced
Date Concluded
Outcome
Fine $22,461; Disgorgement $9,000; Costs $5,000; Conditions
Date Commenced
Date Concluded
Outcome
Fine $35,000; Costs $5,000; Suspension; Conditions
Date Commenced
Date Concluded
Outcome
Fine $21,000; Disgorgement $105; Costs $2,500; Suspension; Conditions
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.