Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2004. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
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:
The webcast will be available on October 15, 2024.
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.