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Understanding Churning and Excessive Commissions:
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
Oct 313 min read
Increase in Regulatory Complaints and Inquiries received by IIROC between 2020 - 2022
IIROC recently released statistics with respect to complaints and inquiries statistics for the period from 2020 to the end of 2022. It is...
Mar 20, 20233 min read
New Canadian Investor Protection Fund officially launch
Toronto, Ontario - January 3, 2023 – New Self-Regulatory Organization of Canada (New SRO) and new Canadian Investor Protection Fund...
Mar 19, 20231 min read
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