How CIRO-Regulated Firms Can Detect and Prevent Misconduct Through Turnover and Cost-to-Equity Analysis Practical Solution Introduction In Canada’s investment industry, client protection and ethical trading practices lie at the heart of regulatory oversight. The Canadian Investment Regulatory Organization ( CIRO , formerly IIROC ) requires firms to ensure that all account activity is consistent with the client’s best interest , suitability , and fair-dealing  standards. Two o

IIROC recently released statistics with respect to complaints and inquiries statistics for the period from 2020 to the end of 2022. It is...

Toronto, Ontario - January 3, 2023 – New Self-Regulatory Organization of Canada (New SRO) and new Canadian Investor Protection Fund...