Alert:
A nationwide postal strike or lockout began on November 15, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Panel Auditors Annual Conference
Project Details:
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.