New Webcast: Highlights of CIRO’s 2025 Compliance Report: Helping Dealers with Compliance

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 should focus on to improve investor protection and foster market integrity. The webcast highlights topics that will help dealers focus their risk management efforts including:

• Compliance Integration
• Cybersecurity Risks
• Algorithmic Trading Controls
• Use of Social Media
• Delegation of Registration Functions to CIRO
• CIRO’s Enhanced Proficiency Model

The moderator and presenters include:

• Sonali GuptaBhaya, Vice-President, Market Policy & Trading Conduct Compliance
• Louise Hamel, Vice-President, Member Compliance
• Ciro Mirabella, Vice-President, Financial & Operations Compliance
• Sherry Tabesh-Ndreka, Vice-President, Proficiency
• Jason Tan, Vice-President, Registration
• Suzanne Watson, Senior Director, Business Conduct Compliance

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.

Register for the webcast.

View CIRO's full list of CE accredited webcasts.