Low 优先级
MONITOR
Canada - CIRO Disciplined Persons
CIRO disciplinary proceeding — Canadian investment industry enforcement action
2,069
受制裁实体
Low
严重程度
MONITOR
所需操作
May 9
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.
详细信息
Canadian Sanctions under SEMA (Special Economic Measures Act) are imposed to respond to grave breaches of international peace and security, gross human rights violations, or significant corruption.
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。
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。