Webcast Catalogue

This webcast introduces the new Request for Business Change template that CIRO Investment Dealers will be asked to complete and include in their business change submissions to CIRO. A Business Change can be a material change to an Investment Dealer’s business activities or changes to its ownership...

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...

This webcast highlights a study of failed trades to examine settlement failure of trades executed on Canadian equity marketplaces.

Market Regulation Services Inc. (RS) originally published a study of failed trades in 2007. This study was based on a sample of failed trades provided by a group of...

This webcast highlights common topics and best practices for effective supervision. It is aimed at providing you with knowledge of what our Business Conduct Compliance and Trading Conduct Compliance teams look for regarding compliance supervision during examinations. Topics covered include remote...

Members are now eligible to become dual-registered, which means they may conduct investment dealer business and mutual fund dealer business within a single legal entity.

In this webcast, New Self-Regulatory Organization of Canada (New SRO) Marinela Mariscal, Vice-President, Membership Intake, and...

In 2021, IIROC engaged Deloitte to develop a cybersecurity self-assessment tool to help small and medium-sized firms identify areas of strength and weakness based on their information security practices.

This webcast features Suzanne Lasrado, IIROC’s Director, Member Regulation and Strategy, Ray Hori...

IIROC and the Investment Industry Association of Canada (IIAC) hosted a live virtual conference on Thursday, December 9, 2021, to discuss innovation in the Canadian investment industry.

This webcast features a discussion about personalization and building the ultimate personalized experience for...

IIROC and the Investment Industry Association of Canada (IIAC) hosted a live virtual conference on Thursday, December 9 to discuss innovation in the Canadian investment industry.

This webcast features a discussion about the important contribution technology brings to our personal and professional...

IIROC and the IIAC hosted a live virtual conference on Thursday, December 9 to discuss innovation in the Canadian investment industry. Andrew J. Kriegler, IIROC’s President and CEO, delivered the opening remarks.

This webcast features a discussion about the CSA’s and IIROC’s initiatives to support...

This webcast features a panel discussion to help IIROC-regulated branch managers, advisors, and anyone in a client-facing position build trust with their multicultural clients by being culturally sensitive.  That includes being aware and accepting of other cultures and their cultural identities and...