Track all Canadian Investment Regulatory Organization (CIRO) fines and enforcement actions. 279 penalties from 2019-2026. Complete database with stats, trends, and analysis.
Coverage Snapshot
- Regulator: Canadian Investment Regulatory Organization
- Jurisdiction: Canada
- Tracked period: 2019-2026
- Tracked actions: 279
- 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.