| Canadian Investment Regulatory Organization

CIRO Sanctions Regan Donald Eric Espeseth

IDPC Rules

Decision Notice

August 28, 2025

CIRO Hearing Panel issues Reasons for Decision in the matter of Andrew John Lougheed

IDPC Rules

Decision Notice

August 27, 2025

Disgorgement – Proposed Amendments to the Mutual Fund Dealer Rules

Read more about Disgorgement – Proposed Amendments to the Mutual Fund Dealer Rules

The Canadian Investment Regulatory Organization (CIRO) is proposing to amend section 7.4.1 of the Mutual Fund Dealer (MFD) Rules to specifically provide for disgorgement, in order for the MFD Rules to conform with the Investment Dealer and Partially Consolidated (IDPC) Rules (the “Proposed Amendments”).