CA Low 优先级 MONITOR

Canada - CIRO Disciplined Persons

CIRO disciplinary proceeding — Canadian investment industry enforcement action

2,078
受制裁实体
Low
严重程度
MONITOR
所需操作
Aug 16
最后更新 2026
关于此列表

Canada: CIRO Disciplined Persons catalogues 2,067 individuals and firms subject to enforcement actions by the Canadian Investment Regulatory Organization, an informational record used for broker-dealer onboarding checks and investment advisor background due diligence.

列表名称 Canada: CIRO Disciplined Persons
全名 Canada - CIRO Disciplined Persons
实体数量 2,078 个实体
严重程度 Low - 咨询性或低优先级列表
所需操作 MONITOR - CIRO disciplinary proceeding — Canadian investment industry enforcement action
最后更新 August 16, 2026 at 05:44 UTC (2 个月前)
合规影响

这是较低优先级或咨询性列表。虽然不具有与主要制裁相同的分量，但仍应审查匹配项，并根据您组织的风险偏好进行适当的尽职调查。

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免责声明： 此信息仅供参考。数据来自官方政府出版物并定期更新。请始终核实官方来源的制裁信息，并在做出商业决策时咨询合格的合规专业人员。

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