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.
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.
This webcast highlights the New SRO, Investment Dealer Division’s common examination findings noted by Financial and Operations Compliance, Trading Conduct Compliance and Business Conduct Compliance teams.
Topics covered include internal controls, books and records, margin requirements, cybersecurity, reconciliations, order markers, artificial pricing, debt transaction reporting, short selling and reporting, conflicts of interest, retail supervision, outside activities and limitation of liability.
Panelists include:
In this section: