New Webcast: Highlights of CIRO’s 2023 – 24 Enforcement Report

Enforcement plays a key role in our mission to protect investors, provide efficient and consistent regulation, and build Canadians’ trust in financial regulation and the people managing their investments. CIRO’s Enforcement team pursues cases that prevent future wrongdoing and improve industry standards and practices.

The webcast features CIRO’s Charles Corlett, Vice-President, Enforcement, Charles Toth, Vice-President, Complaint Intake and Operations, Sylvia Samuel, Senior Enforcement Counsel and Andrew Werbowski, Director, Enforcement Litigation. 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 cases highlighted in the Enforcement Report.

The webcast will be available on October 15, 2024.

Register for the webcast.

There will be 0.5 Compliance continuing education credits available under the Investment Dealer (formerly IIROC) CE program and 0.5 Business Conduct (non-ethics) credits available under the Mutual Fund Dealer (formerly MFDA) CE program.

View CIRO's full list of CE accredited webcasts.