|
Date |
Location |
Name Of Seminar |
Credit Hours* & Type
*for attendance of entire event |
| 03/16/2012 |
Webcast |
Accredited Investors: Important Factors for Consideration |
0.50 hour compliance credit |
| 02/21/2012 |
Webcast |
The 2011 Consolidated Compliance Examination Report and the Focus for the Current Examination Cycle |
0.75 hour compliance credit |
| 01/17/2012 |
Webcast |
Recording of the Live Tips for Traders, Montreal – November |
1.5 hours compliance credit |
| 12/20/2011 |
Webcast |
IIROC’s Registration Department Update |
0.50 hour compliance credit |
| 12/06/2011 |
Toronto |
CLS Annual Compliance Conference |
6 hours compliance credit |
| 11/23/2011 |
Webcast |
Beneficial Ownership of an Account: Important Rules to Know |
0.75 hour compliance credit |
| 11/22/2011 |
Montreal |
Tips for Traders |
1.5 hours compliance credit |
| 10/20/2011 |
Webcast |
Understanding Derivatives and Associated Regulatory Issues |
0.50 hour compliance credit |
| 10/20/2011 |
Toronto |
Proficiency and CE Member Seminar |
3.5 hours compliance credit |
| 09/21/2011 |
Calgary |
Tips for Traders |
1.5 hours compliance credit |
| 09/16/2011 |
Webcast |
The Registration Process, Parts 1, 2 and 3 |
0.50 hour compliance credit per part |
| 09/12/2011 |
Toronto |
Member and Panel Auditors Seminar |
6 hours compliance credit |
| 09/09/2011 |
Calgary |
Member and Panel Auditors Seminar |
5 hours compliance credit |
| 09/08/2011 |
Calgary |
Proficiency and CE Member Seminar |
5.5 hours compliance credit |
| 08/12/2011 |
Webcast |
Tips for Traders Toronto – June 27, 2011 |
1.25 hours compliance credit |
| 07/15/2011 |
Webcast |
Selecting the Right Order Type for Client Orders in Today’s Multiple Marketplace Environment |
0.50 hour compliance credit |
| 06/27/2011 |
Toronto |
Tips for Traders |
1.25 hours compliance credit |
| 06/16/2011 |
Webcast |
Preparing for a Smooth Trading Conduct Compliance Review |
0.25 compliance credit |
| 05/19/2011 |
Webcast |
Fiduciary Standards: The Canadian and U.S. Perspective |
1.0 hour compliance credit |
| 04/21/2011 |
Webcast |
The 2010 Consolidated Compliance Examination Report and the Focus for the Current Examination Cycle |
0.5 hour compliance credit |
| 03/18/2011 |
Webcast |
The Compliant Advisor: A Roadmap to Protecting Your Business |
1.0 hour compliance credit |
| 02/25/2011 |
Webcast |
Gatekeeper Responsibilities: The Market Side |
0.25 hour compliance credit |
| 01/17/2011 |
Webcast |
The AML Guide for Dealers – A Review and Discussion |
1 compliance credit |
|
12/02/2010 |
Toronto |
CLS Annual Conference |
6 compliance credits |
|
11/30/2010 |
Webcast |
Implementing Best Practices for the Supervision of Branch Offices |
0.75 hours compliance credit |
|
11/17/2010 |
Montreal |
Tips for Traders |
1.5 hours compliance credit |
|
10/29/2010 |
Webcast |
Regulatory Update 2010 |
1.0 hours compliance credit |
|
10/07/2010 |
Vancouver |
Tips for Traders |
1.5 hours compliance credit |
|
10/01/2010 |
Montreal |
Annual Member & Panel Auditor Seminar |
7 hours compliance credit |
|
09/16/2010 |
Toronto |
Annual Member & Panel Auditor Seminar |
7 hours compliance credit |
|
09/10/2010 |
Vancouver |
Annual Member & Panel Auditor Seminar |
7 hours compliance credit |
|
09/09/2010 |
Webcast |
Preparing for an IIROC Cycle Examination |
0.5 hours compliance credit |
|
06/30/2010 |
Webcast |
Tips for Traders Toronto – June 16, 2010 |
1.25 hours compliance credit |
|
06/16/2010 |
Toronto |
Tips for Traders |
1.25 hours compliance credit |
|
05/31/2010 |
Webcast |
Talking to Your Clients about Canadian Investor Protection Fund |
0.5 hours compliance credit |
|
04/22/2010 |
Webcast |
Product Due Diligence: The Advisor’s Role and Responsibilities |
1.0 hours compliance credit |
|
03/9/2010 |
Webcast |
IIROC Consolidated Compliance Report 2009 |
1.5 hours compliance credit |
|
01/12/2010 |
Webcast |
IIROC Clues for Compliance Montreal – November 18, 2009 |
1.5 hours compliance credit |
|
12/01/2009 |
Toronto |
CLS Annual Conference 2009 |
6 compliance credits |
|
11/18/2009 |
Montreal |
Clues for Compliance |
1.5 Compliance Credits |
|
11/10/2009 |
Webcast |
Trace of Doubt |
1.0 Compliance credits |
|
10/14/2009 |
Webcast |
Enforcement Trends 2009 |
1.0 Compliance credits |
|
10/08/2009 |
Montreal |
Registration Reform Workshop |
1.5 Compliance Credits |
|
10/06/2009 |
Calgary |
Registration Reform Workshop |
1.5 Compliance Credits |
|
10/05/2009 |
Toronto |
Registration Reform Workshop |
1.5 Compliance Credits |
|
09/30/2009 |
Vancouver |
Clues for Compliance |
1.5 Compliance Credits |
|
09/29/2009 |
Vancouver |
Registration Reform Workshop |
2.5 Compliance credits |
|
09/14/2009 - 09/23/2009 |
Edmonton, Kelowna, Victoria, Winnipeg, Regina, Saskatoon |
Trace of Doubt Western Sessions |
1.5 Compliance Credits |
|
09/15/2009 |
Webcast |
Registration Reform Webcast |
1.0 Compliance credits |
|
08/11/2009 |
Webcast |
2010: A Rulebook Odyssey |
1.0 Compliance credits |
|
08/04/2009, 08/05/2009 |
Halifax & Moncton |
“Trace of Doubt” Atlantic Canada Sessions |
1.5 Compliance credit |
|
06/05/2009 - 06/07/2009 |
Oakville, Hamilton, Ottawa, Waterloo |
“Trace of Doubt” Ontario sessions |
1.5 compliance credits |
|
05/26/2009, 05/27/2009, 06/02/2009, 06/03/2009, 06/04/2009 |
Toronto |
IIROC Rulebook Project Session |
1 Compliance credit |
|
05/27/09 |
Toronto |
Tips for Traders |
1.0 compliance credits |
|
05/26/09 |
Webcast |
Regulatory Update 2009 |
0.5 compliance credit |
|
05/26/09 |
Webcast |
French- Ce qu’il faut savoir sur le PCAC, 1re partie |
1.0 compliance credits |
|
03/31/09 |
Webcast |
Learning Your ABCP’s Part 1 |
1.0 compliance credit |
|
03/18/09 |
Webcast |
French- Article 1 de la Règle 29 : « Faire la bonne chose » |
1.0 compliance credits |
|
12/16/08 |
Webcast |
AML Implementation Meeting the Challenge Atlantic Edition |
2.0 hours of compliance credit |
|
12/15/08 |
Webcast |
“Rule 29.1 Do the Right Thing” |
1.0 hours compliance credit |
|
12/02/08 |
Toronto |
CLS Annual conference |
6 compliance credits |
|
11/26/08 |
Vancouver |
AML Implementation –Meeting the Challenges |
2 compliance credits |
|
11/25/08 |
Vancouver |
Tips for Traders Seminar: Trading When Surrounded by Uncertainty” |
1.5 hours compliance credit |
|
11/24/08 |
Calgary |
AML Implementation –Meeting the Challenges |
2 compliance credits |
|
11/04/08 |
Toronto |
AML Implementation –Meeting the Challenges |
2 compliance credits |
|
10/22/08 |
Montreal |
AML Implementation –Meeting the Challenges |
2 compliance credits |
|
10/16/08 |
Webcast |
Introducing the Canadian Investor Protection Fund |
1 compliance credit |
|
09/30/08 |
Toronto |
Tips for Traders |
1.5 Compliance |
|
09/18/08 - 09/21/08 |
Palm Beach Florida |
FAS Conference |
5 Compliance credits |
|
09/17/08 |
Webcast |
Resolving Client Conflicts (Part II): Putting Theory into Practice |
1 hour Professional Development Credit |
|
09/12/08 |
Vancouver |
Annual Members' Seminar |
7 Compliance |
|
09/11/08 |
Quebec |
Gathering 2008 Continuing Education (Quebec) Thursday, September 11, 2008 |
4.5 hours Compliance credits and 4.5 professional development credits or 9 hours professional development |
|
09/04/08 |
Toronto |
Annual Members' Seminar |
7 Compliance |
|
07/22/08 |
Webcast |
Tips for Traders and Investors Too |
1 hour of compliance credit |
|
06/17/08 |
Webcast |
A Practical Approach to Resolving Client Conflicts |
1 hour of professional development credit |
|
05/29/08 |
Halifax |
Client Identity and Canada’s “New Age” of AML |
2.5 Compliance or Professional Development |
|
05/22/08 |
Montreal |
Comment concilier votre image publique de conseiller et de producteur avec les exigences réglementaires? (French Only) |
1 Compliance |
|
05/16/08 |
Calgary |
Client Identity and Canada’s “New Age” of AML |
2.5 Compliance or Professional Development |
|
05/13/08 |
Webcast |
Shedding Light on Conflicts of Interest and Other Business Activities |
1 Compliance |
|
04/24/08 |
Montreal |
Trading on Multiple Marketplaces |
1 Compliance |
|
04/17/08 |
Montreal |
Client Identity and Canada’s “New Age” of AML |
2.5 Compliance or Professional Development |
|
04/15/08 |
Webcast |
Client Identity on the Frontline & Canada’s New Age of AML |
1 Compliance |
|
03/28/08 |
Vancouver |
Client Identity and Canada’s “New Age” of AML |
2.5 Compliance or Professional Development |
|
03/18/08 |
Toronto |
Client Identity and Canada’s “New Age” of AML |
2.5 Compliance or Professional Development |
|
03/11/08 |
Webcast |
Buying On Margin: A New Look At An Old Practice |
1 Compliance |
|
02/21/08 |
Montreal |
IDA Policy No. 3 Internal Control Policy Statements |
1 Compliance |
|
02/12/08 |
Webcast |
Enforcement Facts and Findings: Recent Trends, Impacts and Recommended Prevention Measures |
1 Compliance |
|
01/17/08 |
Montreal |
Fiducies testamentaires (French Only) |
1 Compliance |
|
12/11/07 |
Webcast |
Regulatory Issues: Non-Canadian Resident Accounts and Trusts: A Primer For Advisors (English) |
1 Compliance |
|
11/15/07 |
Montreal |
Regulatory Analysis of Contracts for Differences (CFDs) |
1 Compliance |
|
11/13/07 |
Webcast |
Safeguarding Communication: Email issues & Hazards |
1 Compliance |
|
10/19/07 |
Montreal |
Gérer la décroissance d’un portefeuille (French only) |
1 Professional Development |
|
10/09/07 |
Webcast |
Compliance for Packaged Fee Based Accounts |
1 Compliance |
|
09/11/07 |
Webcast |
Advisor Managed Discretionary Portfolios |
1 Compliance |
|
09/21/07 |
Calgary |
Annual Members Seminar |
7 Compliance |
|
09/20/07 |
Montreal |
Conformité, supervision et contrôle : un travail d’équipe (French only) |
1 Compliance |
|
09/12/07 |
Toronto |
Annual Members Seminar |
7 Compliance |
|
08/14/07 |
Webcast |
Fee Based Account |
1 Compliance |
|
07/10/07 |
Webcast |
Dealing With Vulnerable Clients Web Cast |
1 Compliance |
|
06/13/07 |
Webcast |
Divorce et questions connexes liées aux comptes de clients (French only) |
1 Compliance |
|
06/12/07 |
Webcast |
Divorce and Account Related Matters |
1 Compliance |
|
05/09/07 |
Webcast |
Billets à capital protégé – 2e Partie (French only) |
1 Compliance or Professional Development |
|
05/08/07 |
Webcast |
Principal Protected Notes – Part 2 |
1 Compliance or 1 Professional Development |
|
04/25/2007 |
Montreal |
Economic and Financial Prospects |
2 Professional Development |
|
04/11/2007 |
Webcast |
Billets à capital protégé – 1e Partie (French only) |
1 Compliance or 1 Professional Development |
|
04/10/2007 |
Webcast |
Principal Protected Notes – Part 1 |
1 Compliance or 1 Professional Development |
|
03/14/2007 |
Webcast |
De la politique à la pratique : Gérer une clientèle âgée (French only) |
1 Compliance |
|
03/13/2007 |
Webcast |
Managing a Business & Compliance: Practical Policies from Current Branch Managers Part 2 |
1 Compliance |
|
02/13/2007 |
Webcast |
Managing a Business & Compliance: Practical Policies from Current Branch Managers |
1 Compliance |
|
05/17/2007 |
Montreal |
Nouvelles tendances dans la gestion de l’Alpha et le Beta dans un portefeuille (French only) |
2 Professional Development |
|
04/12/2007 |
Montreal |
Comment concilier votre image publique de conseiller et de producteur avec les exigences réglementaires? (French only) |
2 Compliance |
|
02/15/2007 |
Montreal |
TSX : An Overview of Equity Trading in the Canadian Marketplace (English only) |
2 Professional Development |
|
01/23/07 |
Toronto |
Breakfast Symposium on Identity Theft |
1 Compliance |
|
01/18/2007 |
Montreal |
Stratégies avancées d’options (French only) |
2 Professional Development |
|
12/12/2006
01/09/2007 |
Webcast |
Powers of Attorney and Trusts Web cast series |
2 Compliance |
|
12/07/06 |
Montreal |
Aspects pratiques de la supervision du directeur de succursale (French only) |
2 Compliance |
|
11/21/2006 |
Toronto |
Breakfast Symposium on Online Security and Insurance Coverage for Computer Crimes |
1 Compliance |
|
11/16/06 |
Montreal |
Client Relationship Program (English Only) |
2 Compliance |
|
11/7/2006
11/22/2006 |
Webcast |
Branch Manager and Advisor Educational Web cast |
2 Compliance |
|
10/19/06 |
Montreal |
Hedgeducation 101 (English Only) |
2 Professional Development |
|
09/15/06 |
Vancouver |
Annual Members Seminar |
7 Compliance |
|
09/06/06 |
Toronto |
Annual Members Seminar |
7 Compliance |
|
8/16/2006 |
Calgary, Edmonton, Halifax, Mississauga, Montreal, Oakville, Ottawa, Regina, Toronto, Vancouver, Winnipeg |
The Client-Advisor Relationship, Advisor/IDA Consultation |
4 Compliance |
|
2/2/2006 |
Vancouver |
SRO Conference 2006 |
6 Compliance or Professional Development |
|
1/26/2006 |
Toronto |
SRO Conference 2006 |
6 Compliance or Professional Development |
|
10/18/2005 |
Saskatoon |
Peter Forrester Event |
2 Compliance |
|
9/29/2005 |
Montréal |
Eighth Annual Continuing Education Seminar |
6 Compliance and 1 Professional Development OR 7 Professional Development |
|
9/16/2005 |
Calgary |
Annual FC Members’ Seminar |
7 Compliance |
|
9/9/2005 |
Toronto |
Annual FC Members’ Seminar |
7 Compliance |
|
6/26/2005 |
Banff |
Industry Education Day, Investment Advisor Stream |
6 Compliance + 2 Professional Development |
|
6/26/2005 |
Banff |
Industry Education Day, Senior Executive Stream |
1 Compliance + 6.5 Professional Development |
|
6/13/2005 |
Halifax |
Business Continuity Planning |
2 Compliance |
|
6/8/2005 |
Vancouver |
Broker Liability Seminar |
2 Compliance |
|
5/17/2005 |
Montréal |
Business Continuity Planning |
2 Compliance |
|
5/17/2005 |
Winnipeg |
Recognition of Excellence |
1 Compliance |
|
5/5/2005 |
Ottawa |
Spring Advisor Seminar |
3.5 Professional Development |
|
5/3/2005 |
Winnipeg |
Business Continuity Planning |
2 Compliance |
|
4/27/2005 |
Toronto |
Spring Advisor Seminar |
3.5 Professional Development |
|
4/26/2005 |
Halifax |
Spring Advisor Seminar |
3.5 Professional Development |
|
4/25/2005 |
Regina |
Peter Forrester Seminar |
2 Compliance |
|
4/25/2005 |
Saint John |
Spring Advisor Seminar |
3.5 Professional Development |
|
4/21/2005 |
Winnipeg |
Spring Advisor Seminar |
3.5 Professional Development |
|
4/21/2005 |
Toronto |
Business Continuity Planning |
2 Compliance |
|
4/20/2005 |
Vancouver |
Spring Advisor Seminar |
3.5 Professional Development |
|
4/18/2005 |
Saskatoon |
Spring Advisor Seminar |
3.5 Professional Development |
|
4/6/2005 |
Calgary |
Business Continuity Planning |
2 Compliance |
|
4/5/2005 |
Vancouver |
Business Continuity Planning |
2 Compliance |
|
2/17/2005 |
Vancouver |
Regional Dealers Conference |
3.75 Professional Development |
|
2/2/2005 |
Vancouver |
SRO Conference |
6.5 Compliance |
|
1/27/2005 |
Toronto |
SRO Conference |
6.5 Compliance |
|
11/30/2004 |
Toronto |
CLS Annual Education Seminar |
6 Compliance |
|
11/29/2004 |
Saskatoon |
Peter Forrester Seminar |
2 Compliance |
|
10/29/2004 |
Toronto |
Strategic Business Issues for Regional Member Firms |
7 Professional Development |
|
10/20/2004 |
Winnipeg |
Hearing Panel Seminar |
7 Compliance |
|
10/12/2004 |
Vancouver |
Retail Broker Seminar, "The Service Professional – Successful Skills for Investment Advisors" |
3 Professional Development |
|
10/5/2004 |
Vancouver |
Retail Broker Seminar, "Know Your Client Better Than They Know Themselves" |
3 Professional Development |
|
9/28/2004 |
Vancouver |
Retail Broker Seminar, "Lessons from the Top" |
3 Professional Development |
|
9/22/2004 |
Toronto |
Annual FC Members’ Seminar |
7 Compliance |
|
9/17/2004 |
Vancouver |
Annual FC Members’ Seminar |
7 Compliance |
|
6/12/2004 |
Mont-Tremblant |
Private Client Day |
5.15 Professional Development |
|
5/13/2004 |
Winnipeg |
Pain and Pleasure Seminar |
1 Professional Development |
|
4/21/2004 |
Regina |
Diane McCurdy Seminar |
3 Professional Development |
|
4/20/2004 |
Edmonton |
Diane McCurdy Seminar |
3 Professional Development |
|
9/25/2003 |
Montréal |
7th Annual CE Conference |
3 Compliance & 4 Professional Development, or 7 Professional Development |
|
9/19/2003 |
Calgary |
Annual FC Members’ Seminar |
7 Compliance |
|
9/4/2003 |
Toronto |
Annual FC Members’ Seminar |
7 Compliance |
|
6/21/2003 |
St. Andrews by-the-Sea |
Private Client Day |
7 Professional Development |
|
5/29/2003 |
Québec |
7th Annual CE Conference |
3 Compliance + 4 Professional Development, or 7 Professional Development |
|
4/16/2003 |
Calgary |
Diane McCurdy Seminar |
3 Professional Development |