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.
Webcast Catalogue
CIRO offers free online Continuing Education courses, like video webcasts, seminars and other public events hosted by CIRO staff and industry professionals.
For webcast-related issues, please email [email protected] for assistance.
Webcast Catalogue
Results:
SRO Examination Series #1: Financial Operations (FINOPS) hosted by the Investment Industry Association of Canada (IIAC)
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...
Notifying CIRO of Business Changes
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...
Common Examination Findings
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...
Failed Trade Study
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...
Effective Supervision
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...
Dual-Registration Questionnaire for Existing Members
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...
IIROC Cybersecurity Self-Assessment Checklist
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 - IIAC Innovation Forum: Digital Personalization
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 - IIAC Innovation Forum: Technology is the question, not always the answer OR what have you done for me lately…
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 - IIAC Innovation Forum: How Regulators Can Support Innovation
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...