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Opinion
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
J Yavuz Say
Oct 31, 2025
Navigating the Complexities: Understanding Fiduciary Duty and Discretionary Authority in Investment Advisory
In the realm of investment advisory, fiduciary duty plays a crucial role in defining the responsibilities of financial professionals....
J Yavuz Say
Feb 15, 2025
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...
J Yavuz Say
Mar 20, 2023
Issues with Fee Based and Managed Account platforms still exist after so many years
In December 2016, IIROC initiated a review of compensation-related conflicts and found recurring themes and concerns. Although disclosure...
J Yavuz Say
Mar 20, 2023
Stock Market Bubbles and Behavioral Finance
Behavioral finance is a field of study that seeks to understand how psychological biases and emotions can affect financial...
J Yavuz Say
Mar 19, 2023
Revolutionizing the Investment Advisory Business and Boosting Investment Returns with Advance AI
Title: Revolutionizing the Investment Advisory Business and Boosting Investment Returns with Advanced AI Introduction In recent years,...
J Yavuz Say
Mar 19, 2023
The masterpiece of precision and accuracy
A mechanical watch is a true marvel of engineering. It is comprised of many intricate parts that work together in perfect harmony to keep...
J Yavuz Say
Mar 19, 2023
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...
J Yavuz Say
Mar 19, 2023
Why your Investment Advisor do not meet your expectation ?
Investing is an essential component of any financial plan. For many investors, working with an investment advisor is an excellent way to...
J Yavuz Say
Mar 19, 2023
Top Stories
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
Navigating the Complexities: Understanding Fiduciary Duty and Discretionary Authority in Investment Advisory
In the realm of investment advisory, fiduciary duty plays a crucial role in defining the responsibilities of financial professionals....
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...
Issues with Fee Based and Managed Account platforms still exist after so many years
In December 2016, IIROC initiated a review of compensation-related conflicts and found recurring themes and concerns. Although disclosure...
Stock Market Bubbles and Behavioral Finance
Behavioral finance is a field of study that seeks to understand how psychological biases and emotions can affect financial...
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