Webcast Catalogue & Program Details

Webcast Catalogue

An archive of video webcasts of seminars and public events offered by IIROC staff and industry professionals. Amount of Continuing Education credits included at right.

Released	Compliance	CE Amt
13-June-13	The Use of Business Titles and Financial Designations by Retail Advisors	.75
10-Jan-13	Recording of the Live Tips for Traders, Montreal – November 29, 2012	1.25
5-Dec-12	Third Party Electronic Access: Proposed IIROC Rules Information Session	0
4-Oct-12	Client Relationship Model Implementation: Relationship Disclosure and Enhanced Suitability Assessment	1.0
4-Oct-12	Client Relationship Model Implementation: Management and Disclosure of Conflicts of Interest	1.0
4-Oct-12	Client Relationship Model Implementation: Account Performance Reporting	1.0
30-Aug-12	Canada’s Changing Equity Markets (Professional Development CE Credit)	0.50
29-Jun-12	Enforcement Trends 2012	1.0
31-May-12	Recording of the Live Tips for Traders, Toronto – May 24, 2012	1.25
30-Apr-12	Understanding the OTC Securities Fair Pricing Rule	0.50
16-Mar-12	Accredited Investors: Important Factors for Consideration	0.50
21-Feb-12	The 2011 Consolidated Compliance Examination Report and the Focus for the Current Examination Cycle	0.75
17-Jan-12	Recording of the Live Tips for Traders, Montreal – November 22, 2011	1.5
20-Dec-11	IIROC’s Registration Department Update	0.50
23-Nov-11	Beneficial Ownership of an Account: Important Rules to Know	0.75
20-Oct-11	Understanding Derivatives and Associated Regulatory Issues	0.50
16-Sep-11	The Registration Process Part 1	0.50
16-Sep-11	The Registration Process Part 2	0.50
16-Sep-11	The Registration Process Part 3	0.50
12-Aug-11	Tips for Traders Toronto – June 27, 2011	1.25
15-Jul-11	Selecting the Right Order Type for Client Orders in Today’s Multiple Marketplace Environment	0.50
16-Jun-11	Preparing for a Smooth Trading Conduct Compliance Review	0.25
19-May-11	Fiduciary Standards: The Canadian and U.S. Perspective	1
21-Apr-11	The 2010 Consolidated Compliance Examination Report and the Focus for the Current Examination Cycle	0.5
18-Mar-11	The Compliant Advisor: A Roadmap to Protecting Your Business	1.0
17-Jan-11	The AML Guide for Dealers – A Review and Discussion	1
31-May-10	Talking to Your Clients about Canadian Investor Protection Fund	0.5
5-May-10	Dark Pools Forum - March 23, 2010 (large file requires high bandwidth to access)	0
10-Nov-09	Trace of Doubt (A Case of Market Manipulation)	1.0
16-Oct-08	Introducing the Canadian Investor Protection Fund	1.0

Program Details

Latest IIROC Education Notices with details on upcoming seminars and public events offered by IIROC staff and industry professionals. Notices explain how to sign up for and view videos of recently archived seminars and public events – such as Tips for Traders -- by IIROC staff and industry professionals. For a searchable list of all Education Notices click here to be redirected to News & Publications.

Release Date	Title
01/13/2013	January 2013 Webcast: Recording of the Live Tips for Traders, Montreal – November 29, 2012
12/5/2012	Webcast: Third Party Electronic Access - Proposed IIROC Rules Information Session
11/22/2012	2012-2013 Québec Breakfast Seminars Saint James Club of Montréal – 7:30 a.m. to 9:00 a.m. (Seminar in French)
11/21/2012	Annual Compliance & Legal Section (CLS) Compliance Conference
11/7/2012	‘Tips for Traders’ Montreal – November 29, 2012
10/25/2012	Direct Electronic Access - Proposed IIROC Rules Information Sessions
10/4/2012	New Webcasts: Client Relationship Model Implementation
9/20/2012	Tips for Traders Vancouver – October 11, 2012
8/31/2012	August 2012 Webcast: Canada’s Changing Equity Markets
7/25/2012	2012-2013 Québec Breakfast Seminars - Saint James Club of Montréal – 7:30 a.m. to 9:00 a.m.
7/10/2012	Launch of the 2012-2013 Québec Breakfast Seminar Series
7/9/2012	Access IIROC Educational Webcasts at Your Convenience
6/29/2012	June 2012 Webcast: Enforcement Trends 2012
6/19/2012	EVENT REMINDER – Register Now: OSC and IIROC host market structure conference June 26
6/6/2012	OSC and IIROC host market structure conference
5/31/2012	May 2012 Webcast: Recording of the Live Tips for Traders, Toronto – May 24, 2012
5/8/2012	Tips for Traders Toronto – May 24, 2012
4/30/2012	April, 2012 Webcast: Understanding the OTC Securities Fair Pricing Rule
3/15/2012	March 2012 Webcast: Accredited Investors: Important Factors for Consideration
2/21/2012	February 2012 Webcast: The 2011 Consolidated Compliance Examination Report and the Focus for the Current Examination Cycle
1/16/2012	January 2012 Webcast: Recording of the Live Tips for Traders, Montreal – November 22, 2011

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