Webcast Catalogue

A new training seminar “CIPF Coverage: Demystifying Common Myths” has been developed by the Canadian Investor Protection Fund (CIPF) to help individuals employed by CIRO member firms learn about CIPF while meeting their Compliance CE requirements.

This webcast provides an overview of CIPF and covers...

This webcast provides an overview of CIRO’s advisory committee structure, summarizing the role and structure of the following:

• Financial and Operations Advisory Section (FOAS)
• Conduct, Compliance and Legal Advisory Section (CCLS)
• Market Rules Advisory Committee (MRAC)
• Fixed Income Advisory Committee (FI...

The Compliance teams at the Canadian Investment Regulatory Organization (CIRO) regularly examine Dealer Member firms to assess each firm’s compliance with CIRO rules and applicable securities legislation. The Financial & Operations Compliance (FINOPS) team monitors the solvency of all Dealer Members...

This webcast introduces the new Request for Business Change template that CIRO Investment Dealers will be asked to complete and include in their business change submissions to CIRO. A Business Change can be a material change to an Investment Dealer’s business activities or changes to its ownership...

This webcast highlights the New SRO, Investment Dealer Division’s common examination findings noted by Financial and Operations Compliance, Trading Conduct Compliance and Business Conduct Compliance teams.

Topics covered include internal controls, books and records, margin requirements, cybersecurity...

This webcast highlights a study of failed trades to examine settlement failure of trades executed on Canadian equity marketplaces.

Market Regulation Services Inc. (RS) originally published a study of failed trades in 2007. This study was based on a sample of failed trades provided by a group of...

This webcast highlights common topics and best practices for effective supervision. It is aimed at providing you with knowledge of what our Business Conduct Compliance and Trading Conduct Compliance teams look for regarding compliance supervision during examinations. Topics covered include remote...

Members are now eligible to become dual-registered, which means they may conduct investment dealer business and mutual fund dealer business within a single legal entity.

In this webcast, New Self-Regulatory Organization of Canada (New SRO) Marinela Mariscal, Vice-President, Membership Intake, and...