Brief: CIRO Sanctions RBC DS For Failing To Supervise Futures Trading Of Two Representatives

Royal Bank of Canada

02/07/2026 19:01

July 2 (Reuters) - Canadian Investment Regulatory Organization: 
CANADIAN INVESTMENT REGULATORY ORGANIZATION: ACCEPTED SETTLEMENT AGREEMENT, WITH SANCTIONS, BETWEEN ENFORCEMENT STAFF & RBC DOMINION SECURITIES
CIRO: RBC DS ADMITTED IT FAILED TO SUPERVISE FUTURES TRADING ACTIVITIES OF TWO REGISTERED REPRESENTATIVES
CIRO: RBC DS AGREED TO PAY FINE OF $1.5 MILLION, DISGORGEMENT OF $1.8 MILLION  COSTS OF $100,000
Source text: ID:nCNWzXQVta

 ((Reuters.Briefs@thomsonreuters.com;))