Examples of CIRO in a sentence
If client is a CIRO Dealer Member or transacts on the Negotiation Systems through an affiliate that is a CIRO Dealer Member, it or such affiliate must comply with the requirements of UMIR Rule 6.4 – Trades to be on a Marketplace, including the requirement in UMIR Rule 6.4(1) that all trades must be executed on a marketplace unless otherwise exempted under UMIR Rule 6.4(2).3.
Client Information that is relevant to ongoing matters being addressed by the MFDA or its successors, which is being held in a secure location based on the request of Staff of CIRO.
The Exchange has implemented price bands to minimize erroneous trades from occurring on the Exchange in accordance withthe requirements set out in CIRO rules and guidance, as memorialized in IIROC Rules Notice and Guidance Note 15-0186 Guidance on Marketplace Thresholds.
The CIRO shall be responsible for ensuring that the Company complies with continuous disclosure requirements and for overseeing and coordinating disclosure of UPSI to stock exchanges and on the website of the Company.4. Prompt dissemination of unpublished price sensitive information that gets disclosed selectively, inadvertently or otherwise to make such information generally available.
Odorico’s ability to pay the financial penalties ordered by CIRO.
By entering into the Settlement Agreement, the Respondent has saved CIRO the time, resources, and expenses associated with conducting a contested hearing of the allegations.
In absence of CIRO, any Key Managerial Personnel (KMP) of the Company shall oversee disclosures and deal with dissemination of information and disclosure of UPSI.
The Respondent has not previously been the subject of MFDA or CIRO disciplinary proceedings.
They were not unduly severe in the circumstances and there is nothing suggesting that the CIRO panel imported considerations related to the Set Aside Finding when imposing these sanctions.
CIRO Staff further submits that the permanent ban should be upheld on the basis of the surviving contraventions found by CIRO (including themisappropriation of client RM’s funds) and in light of prior decisions,5 sanctions principles, CIRO’s Sanctions Guidelines, the public interest and the facts of this case.