New Webcast: Highlights of CIRO’s 2022 – 23 Enforcement Report

Enforcement plays a key role in our mission to support investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments. CIRO’s Enforcement team is committed to pursuing cases that prevent future wrongdoing and improve industry standards and practices.

The webcast features CIRO’s Charles Corlett, Vice-President, Enforcement (Investment Dealers), Charles Toth, Vice-President, Enforcement (Mutual Fund Dealers), and Joanna Nicholson, Manager, Corporate Communications and Public Affairs as the moderator. In this session, participants will:

• Provide an overview of enforcement’s priorities and goals; 
• Discuss key achievements and results; and
• Touch upon some of the themes of the cases highlighted in the Enforcement Report.

The webcast will be available on October 25, 2023.

There will be 0.50 compliance continuing education credits available.  

Register for the webcast.

View the CIRO (and former IIROC) full list of CE accredited webcasts.

View the Mutual Fund Dealer Division’s (formerly MFDA) list of CE accredited webcasts previously issued for the Mutual Fund Dealer CE program.

Note: Participants in the Mutual Fund Dealer Division CE program can take CIRO (and former IIROC) CE accredited webcasts and enter attendance on the MFDA CE Reporting and Tracking System (CERTS). Please refer to the Course Catalogue in CERTS to confirm eligibility.