Webcast Catalogue

Proficiency plays a key role in CIRO’s mission to protecting investors, to providing efficient and consistent regulation, and to building confidence in Canada’s capital markets. The new Proficiency model aims to raise the proficiency bar; allow for greater currency, relevancy, and responsiveness to...

The webcast features CIRO’s Harvey Asiedu-Akrofi, Legal Counsel, Proficiency, and Rita Kwok, Senior Proficiency Specialist. In this session, presenters will:

• Provide an overview of the background and objectives of the Proficiency model;
• Discuss the framework; and
• Provide guidance on the Exemptions...

The webcast features CIRO’s Harvey Asiedu-Akrofi, Legal Counsel, Proficiency, and Janet Lapointe, Senior Specialist, Proficiency Standards and Policy. In this session, presenters will:

• Provide an overview of the background and objectives of the Proficiency model;
• Discuss the framework; and
• Provide Firm...

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...

This webcast is a recording of the in-person “Tips for Traders” event which took place on November 21, 2024 in Montreal.

Program Details

On August 6, 2024, the Canadian Securities Administrators (CSA) and CIRO issued a news release reminding Crypto Asset Trading Platforms (CTPs) to prioritize their applications for registration as Investment Dealers and CIRO membership. In addition to the guidance and tools already available for...

A key theme of CIRO’s Compliance Report for 2025: Helping Dealers with Compliance is the relationship between technologies used in the investment ecosystem and managing their risks to protect investors. This webcast outlines some of the emerging issues and challenges that Members regulated by CIRO...

CIRO recently announced enhancements to the tools available for Members to prepare notices of material changes in business activities (for Investment Dealer Members) and notices of proposed ownership changes. The new or updated tools for Members are intended to increase efficiencies for applicants...

This session explores emerging and disruptive technologies, with a focus on generative AI, and its impact and applications in the investment industry. This session also addresses some of the opportunities and challenges of employing these technologies, including additional considerations when...

Technology has enabled greater access to financial markets for retail investors. This session explores the evolution, current state, and future trends of self-directed investing and order execution-only platforms. The panel discusses the challenges and opportunities presented by the rise of online...