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.
In this webcast, CIRO’s Claudyne Bienvenu, Vice-President, Québec and Atlantic Canada and Kevin McCoy, Senior Vice-President, Market Regulation Operations (acting) deliver the opening remarks.
Sonali GuptaBhaya, Vice-President, Market Policy and Trading Conduct Compliance (acting), Alex Taylor, Vice-President, Market Surveillance and Michael Librizzi, Director, Trading, Montreal, highlight the following topics:
While most of the presentation is in English, some content is delivered in French.
This webcast will be available on February 1, 2024.
There will be 1.0 Compliance continuing education credits available under the Investment Dealer (formerly IIROC) CE program and 1.0 Business Conduct (non-ethics) credits available under the Mutual Fund Dealer (formerly MFDA) CE program.