CIRO is overseeing firm compliance standards and a settlement regarding alleged supervision failures involving RBC Dominion Securities.
1 report, 1 independent
Updated Jul 2
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What happened
CIRO is overseeing firm compliance standards and a settlement regarding alleged supervision failures involving RBC Dominion Securities.
How it developed
Newest first. Tap a step to see who reported it.- RBC Dominion Securities failed to supervise futures trading activities of its representatives, leading to scrutiny from CIRO.Sub-event
- The Divisional Court and Capital Markets Tribunal are reviewing CIRO's enforcement rulings regarding firm compliance standards.Sub-event
CIRO oversees firm compliance standards and a settlement regarding alleged supervision failures.1 source