CIRO Fines Database | Canadian Investment Regulatory Organization Enforcement Actions
Track Canadian Investment Regulatory Organization (CIRO) fines and enforcement actions from 2019-2026. Current totals are loaded from the live evidence view. Complete database with stats, trends, and analysis.
Coverage Snapshot
- Regulator: Canadian Investment Regulatory Organization
- Jurisdiction: Canada
- Tracked period: 2019-2026
- Tracked actions: 316
- Latest tracked action: 2026-10-15
- Default currency: GBP
Use This Data
Open the live RegActions workspace to filter the source records, inspect related firms, compare breach themes, and export the evidence for compliance or board reporting.
Largest enforcement actions
| Firm or individual | Date | Amount | Breach category | Source |
|---|---|---|---|---|
| Virtu Canada Corp. | 13 Mar 2026 | £594,000 | Marketplace order display failures | Notice |
| National Bank Financial Inc. | 13 Mar 2026 | £540,000 | Supervision and suitability failures | Notice |
| Wei (Wendy) Seto | 30 Jan 2026 | £40,500 | Personal financial dealings with clients | Notice |
| Lucie Roland | 28 Oct 2024 | £5,400 | Unauthorized client fund transfers | Notice |
Amounts are normalised to GBP for comparison.
Frequently asked questions
What is the largest CIRO fine?
The largest CIRO fine currently recorded by RegActions is £594,000, issued to Virtu Canada Corp. on 13 Mar 2026 by the Canadian Investment Regulatory Organization. This reflects amounts that have passed RegActions' amount-review gate; see the CIRO fines database below for the complete, source-linked list.
How much has CIRO fined in 2026?
RegActions records £1,174,500 in disclosed Canadian Investment Regulatory Organization (CIRO) monetary penalties in 2026, based on source-linked notices that have passed the amount-review gate. This excludes non-monetary actions such as prohibitions and public censures.
How many CIRO penalties were issued in 2026?
RegActions has recorded 3 disclosed Canadian Investment Regulatory Organization (CIRO) monetary penalties in 2026 so far. This counts individual penalty notices, not firms, since some are fined more than once in a year.
How can I verify a CIRO fine?
Start with the firm or individual name, the penalty date and the disclosed amount, then open the linked Canadian Investment Regulatory Organization notice. The notice sets out the rule breaches, the affected period and the sanction. RegActions links every record to its official source; the regulator's own publication remains the authoritative record.