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.
Highlights of CIRO’s 2024 Compliance Priorities Report: Helping Firms with Compliance
Project Details:
This webcast highlights CIRO’s 2024 Compliance Priorities Report: Helping Firms with Compliance which summarizes current issues that Members regulated by CIRO should focus on to promote investor protection and foster market integrity. The webcast also outlines initiatives that will support innovation and transformation in the industry. Topics discussed include Client Focused Reforms, upcoming changes to the compliance program, order markers and client identifiers, cybersecurity, experience requirements for Supervisors along with many other topics that will help dealers focus their risk management efforts to comply with our regulatory requirements.