Webcast Catalogue

In this webcast, Lisa Caputo and Sasha Latka, Managers, Business Conduct Compliance will provide an overview of the amendments to the conflicts of interest requirements in the Client Focused Reforms that came into force on June 30, 2021.  They will also summarize the recent joint regulatory sweep of...

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...

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...

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...

CIRO’s Alex Taylor, Vice-President, Market Surveillance and Sonali GuptaBhaya, Vice-President, Market Policy and Trading Conduct Compliance (acting), discussed the following topics in this webcast:

• Short Selling
• Seeking UMIR Exemptions
• ETF Trading
• Surveillance Trends
• SEC Market Proposals – Canadian...

This webcast highlights CIRO’s Annual Priorities and details the significant activities and initiatives that CIRO is focusing on during this fiscal year, including:  

• Harmonization of CIRO’s regulatory approach;
• How CIRO will continue to deliver on the regulatory mandate and support investors through...

Enforcement plays a key role in our mission to support investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments. CIRO’s Enforcement team is committed to pursuing cases that prevent future wrongdoing and...

A new training seminar “CIPF Coverage: Demystifying Common Myths” has been developed by the Canadian Investor Protection Fund (CIPF) to help individuals employed by CIRO member firms learn about CIPF while meeting their Compliance CE requirements.

This webcast provides an overview of CIPF and covers...

This webcast provides an overview of CIRO’s advisory committee structure, summarizing the role and structure of the following:

• Financial and Operations Advisory Section (FOAS)
• Conduct, Compliance and Legal Advisory Section (CCLS)
• Market Rules Advisory Committee (MRAC)
• Fixed Income Advisory Committee (FI...

The Compliance teams at the Canadian Investment Regulatory Organization (CIRO) regularly examine Dealer Member firms to assess each firm’s compliance with CIRO rules and applicable securities legislation. The Financial & Operations Compliance (FINOPS) team monitors the solvency of all Dealer Members...