New Webcast: Panel Auditors Annual Conference

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 dealers.

Each year in the Fall, the CIRO Financial and Operations Compliance Department presents a Panel Auditor Conference to provide an update to Panel Auditors to assist in planning for future investment dealer audits. The content is also relevant to CFO responsibilities.

This webcast is a recording of the Panel Auditors Virtual Conference held on Thursday, November 2, 2023.

Topics covered include Panel Auditor Committee Update, Industry Performance, CIRO Strategic Initiatives and SRO Consolidation, CIPF Update, Membership Intake – Membership Application Process, CIRO Regulatory Policy Update, Financial and Operations Compliance Current Issues and Noteworthy Examination/AWP/Form 1 Findings.

The Moderator and Presenters include:

• Ciro Mirabella, Director, Financial and Operations Compliance, CIRO
• David Tedesco, Chair, Panel Auditor Committee and Partner, Financial Services, Ernst & Young LLP
• Dennis Dirksen, Manager, Financial & Operations Compliance, CIRO
• Alexandra Williams, Senior Vice-President, Member Regulation and Corporate Strategy, CIRO
• Joseph Campos, Senior Vice-President & Chief Risk Officer, CIPF
• Marinela Mariscal, Vice-President, Membership Intake, CIRO
• Claudia Leung, Manager, Membership Intake, CIRO
• Richard Corner, Vice-President and Chief Policy Advisor, Member Regulation, CIRO
• Alex Kim, Manager, Financial & Operations Compliance, CIRO
• Kun Kim, Manager, Financial & Operations Compliance, CIRO
• Vern Bennington, Manager, Financial & Operations Compliance, CIRO
• Robert DeGoeij, Manager, Financial & Operations Compliance, CIRO
• Marie-Lyne Côté, Director, Member Regulation, CIRO

There will be 1.75 Compliance continuing education credits available under the Investment Dealer (formerly IIROC) CE program and 1.75 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.