Latest news with #CIRO
Cision Canada
6 hours ago
- Business
- Cision Canada
Canadian Investment Regulatory Organization Trading Halt - CSTL.P Français
VANCOUVER, BC, /CNW/ - The following issues have been halted by CIRO Company: Castlecap Capital Inc. TSX-Venture Symbol: CSTL.P All Issues: Yes Reason: Pending News Halt Time (ET): 10:53 AM CIRO can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company. Trading halts are implemented to ensure a fair and orderly market. CIRO is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. SOURCE Canadian Investment Regulatory Organization (CIRO) – Halts/Resumptions For further information about CIRO's trading halt policy, please see Trading Halts & Timely Disclosure at under the Markets tab. Please note that CIRO staff cannot provide any information about a specific halt beyond what is contained in this halt notice. For general information about CIRO, contact CIRO's Complaints & Inquiries team by submitting a Secure Form located on our contact page at or dialing 1-877-442-4322 (Option 1). For company-related enquiries, please contact the company directly.
Cision Canada
6 hours ago
- Business
- Cision Canada
Canadian securities regulators publish CIRO oversight review report
VANCOUVER, BC , July 23, 2025 /CNW/ - The Canadian Securities Administrators (CSA) today released the Oversight Review Report of the Canadian Investment Regulatory Organization (CIRO). The report evaluates whether CIRO has complied with the terms and conditions of its recognition orders, and whether regulatory processes are effective, efficient, and applied consistently and fairly. CSA staff completed a risk-based oversight review of CIRO that targeted specific processes within the areas of information technology, membership intake, and trading conduct compliance. CSA staff identified three medium priority findings. CIRO has established an action plan to address and remediate each finding. Other than those findings, CSA staff did not identify concerns with CIRO meeting the relevant terms and conditions of regulators' recognition orders in the functional areas reviewed. The CSA, the council of the securities regulators of Canada's provinces and territories, co-ordinates and harmonizes regulation for the Canadian capital markets. For media inquiries, please contact: Ilana Kelemen Canadian Securities Administrators [email protected] Brian Kladko BC Securities Commission [email protected] For investor inquiries, please contact your local securities regulator. SOURCE Canadian Securities Administrators
Associated Press
7 hours ago
- Business
- Associated Press
Canadian securities regulators publish CIRO oversight review report
VANCOUVER, BC, July 23, 2025 /CNW/ - The Canadian Securities Administrators (CSA) today released the Oversight Review Report of the Canadian Investment Regulatory Organization (CIRO). The report evaluates whether CIRO has complied with the terms and conditions of its recognition orders, and whether regulatory processes are effective, efficient, and applied consistently and fairly. CSA staff completed a risk-based oversight review of CIRO that targeted specific processes within the areas of information technology, membership intake, and trading conduct compliance. CSA staff identified three medium priority findings. CIRO has established an action plan to address and remediate each finding. Other than those findings, CSA staff did not identify concerns with CIRO meeting the relevant terms and conditions of regulators' recognition orders in the functional areas reviewed. The CSA, the council of the securities regulators of Canada's provinces and territories, co-ordinates and harmonizes regulation for the Canadian capital markets. For media inquiries, please contact: Ilana Kelemen Canadian Securities Administrators [email protected] Brian Kladko BC Securities Commission [email protected] For investor inquiries, please contact your local securities regulator. SOURCE Canadian Securities Administrators
Cision Canada
9 hours ago
- Business
- Cision Canada
Canadian Investment Regulatory Organization Trade Resumption - TCK.P Français
VANCOUVER, BC, /CNW/ - Trading resumes in: Company: Trillium Acquisition Corp. TSX-Venture Symbol: TCK.P All Issues: Yes Resumption (ET): 9:30 AM CIRO can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company. Trading halts are implemented to ensure a fair and orderly market. CIRO is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. SOURCE Canadian Investment Regulatory Organization (CIRO) – Halts/Resumptions For further information about CIRO's trading halt policy, please see Trading Halts & Timely Disclosure at under the Markets tab. Please note that CIRO staff cannot provide any information about a specific halt beyond what is contained in this halt notice. For general information about CIRO, contact CIRO's Complaints & Inquiries team by submitting a Secure Form located on our contact page at or dialing 1-877-442-4322 (Option 1). For company-related enquiries, please contact the company directly.
Cision Canada
a day ago
- Business
- Cision Canada
Decision Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Jonathan Thomas Jones Français
VANCOUVER, BC, /CNW/ - Following a settlement hearing held on May 30, 2025, pursuant to the Investment Dealer and Partially Consolidated Rules, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) issued its reasons for decision on July 10, 2025. The hearing panel's reasons for decision are available at: Re Jones 2025 CIRO 34 In their reasons for decision, the hearing panel found that Jonathan Jones traded in a security by means other than the entry of an order on a marketplace and confirmed a fine of $21,000 and costs of $2,000 imposed as part of the settlement. At all material times, Jonathan Jones conducted business with Haywood Securities Inc. in the Vancouver, British Columbia area. Jonathan Jones is currently registered as a Dealing Representative with Leede Financial Inc. The Canadian Investment Regulatory Organization (CIRO) is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces. CIRO is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians' trust in financial regulation and the people managing their investments. For more information, visit All information about disciplinary proceedings relating to current and former member firms and individual registrants under the Investment Dealer and Partially Consolidated Rules (for investment dealers), the Mutual Fund Dealer Rules (for mutual fund dealers) and the Universal Market Integrity Rules (UMIR) is available on CIRO's website. Background information regarding the qualifications and disciplinary history, if any, of advisors currently employed by CIRO-regulated investment firms is available free of charge through the AdvisorReport service. Information on how to make dealer, advisor or marketplace-related complaints is available by calling 1-877-442-4322. CIRO investigates possible misconduct by its member firms and individual registrants. It can bring disciplinary proceedings which may result in sanctions including fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms. All other Inquiries: Complaints & Inquiries Secure form Toll-free (Canada/US) 1-877-442-4322 SOURCE Canadian Investment Regulatory Organization (CIRO)
