Webcast Catalogue

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...

This session provides a perspective on how the digital economy has developed over the years, including the role of digital assets and tokenization. The discussion also encompasses considerations around the application of distributed ledger technology and challenges and implications of such adoption...

CIRO Investment Dealers may only use an approved panel auditor for the audit of their books and records. The partner responsible for the audit of an Investment Dealer must have attended the CPA Canada In-depth Brokers and Investment Dealers Course specifically designed for auditors of investment...

In this webcast, David Wright, Senior Counsel, Business Conduct Compliance, and Jeffrey Yewer, Senior Manager, Business Conduct Compliance, will discuss advisor ranking contests in a conversation moderated by Iris Titov, Member Education Consultant. The discussion provides an overview of the rules...

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...

In this webcast, Lisa Caputo and Sasha Latka, Managers, Business Conduct Compliance will provide an overview of the amendments to the conflicts of interest requirements in the Client Focused Reforms that came into force on June 30, 2021.  They will also summarize the recent joint regulatory sweep of...

This webcast highlights CIRO’s 2024 Compliance Priorities Report: Helping Firms with Compliance which summarizes current issues that Members regulated by CIRO should focus on to promote investor protection and foster market integrity. The webcast also outlines initiatives that will support...

CIRO Investment Dealers may only use an approved panel auditor for the audit of their books and records. The partner responsible for the audit of an Investment Dealer must have attended the CPA Canada In-depth Brokers and Investment Dealers Course specifically designed for auditors of investment...

This webcast highlights CIRO’s Annual Priorities and details the significant activities and initiatives that CIRO is focusing on during this fiscal year, including:  

• Harmonization of CIRO’s regulatory approach;
• How CIRO will continue to deliver on the regulatory mandate and support investors through...

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...