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Webcast Catalogue & Program Details



 

 Webcast Catalogue

 


Archived video webcasts, seminars and public events presented by IIROC staff and industry professionals. The number of continuing education credits is shown at right.

Released Compliance CE Amt
​July 20, 2016 Mystery Shopping Results and the KYC process ​0.5
​June 13, 2016 ​Dealing with Senior Clients ​1.0
​May 26, 2016 ​Registration Reform Proposed Changes ​0.5
​May 5, 2016 Overview of IIROC Registration Department (Operations and Rules) 0.5​
March 17, 2016​ Recording of the Cybersecurity Webinar held on February 19, 2016 0.75
February 9, 2016​ IIROC’s Enforcement and Registrations Update 1.0​
December 10, 2015​ Recording of the Market Structure Panel discussion at IIROC’s Annual Compliance Conference September 22, 2015 1.0​
October 6, 2015​ Underwriting Due Diligence Guidance​ 1.0​
September 1, 2015​ Tips for Traders, recorded in Toronto on June 18, 2015​ 1.25​
July 29, 2015

June 4, 2015​
Understanding CIPF Coverage​ 

Outside Business Activities and Personal Financial Dealings
1.0

1.0​
March 5, 2015​ Close and Strict Supervision Sanctions​ 1.0​
January 15, 2015​ IIROC’s Enforcement Department’s Complaint and Investigative Processes, IIROC Enforcement Priorities and Review of some Noteworthy Cases 1.0​
November 27, 2014​ Recording of the Market Structure and Best Execution Panel discussion at IIROC’s Annual Compliance Conference September 18, 2014​ 1.0​
October 22, 2014​ Client Complaints - Understanding the Process 0.75​
August 11, 2014​ Recording of the Live Tips for Traders, Toronto, June 18, 2014 1.25​
February 19, 2014​ Borrowing for Investment Purposes, Suitability and Supervision Issues 1.0​
June 13, 2013

The Use of Business Titles and Financial Designations by Retail Advisors

0.75​
March 16, 2012 Accredited Investors: Important Factors for Consideration 0.50
November 23, 2011 Beneficial Ownership of an Account: Important Rules to Know

0.75

March 18, 2011 The Compliant Advisor: A Roadmap to Protecting Your Business

1.0

November 10, 2009

Trace of Doubt (A Case of Market Manipulation) 1.0
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 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
​July 20, 2016 Mystery Shopping Results and the KYC process
​June 13, 2016 Dealing with Senior Clients
​March 26, 2016 Registration Reform Proposed Changes
​March 5, 2016 ​Overview of IIROC Registration Department (Operations and Rules)
March 17, 2016 Recording of the Cybersecurity Webinar held on February 19, 2016
February 9, 2016 IIROC’s Enforcement and Registrations Update
December 10, 2015 Recording of the Market Structure Panel discussion at IIROC’s Annual Compliance Conference September 22, 2015​​
November 13, 2015 Understanding CIPF Coverage​​
November ​13, 2015 Tips for Traders Toronto (Recorded on June 18, 2015)
November 13, 2015 ​Underwriting Due Diligence Guidance
June 4, 2015 Outside Business Activities and Personal Financial Dealings
March 5, 2015 Close and Strict Supervision Sanctions
January 15, 2015 IIROC’s Enforcement Department’s Complaint and Investigative Processes, IIROC Enforcement Priorities and Review of some Noteworthy Cases
​November 26, 2014 ​Recording of the Market Structure and Best Execution Panel discussion at IIROC’s Annual Compliance Conference September 18, 2014
​October 22, 2014 Client Complaints - Understanding the Process
August 11, 2014 Recording of the Live Tips for Traders, Toronto, June 18, 2014
February 19, 2014 Borrowing for Investment Purposes, Suitability and Supervision Issues
June 13, 2013 The Use of Business Titles and Financial Designations by Retail Advisors
​March 15, 2012 Accredited Investors: Important Factors for Consideration
​November 23, 2011 November 2011 Webcast: Beneficial Ownership of an Account: Important Rules to Know
March 16, 2011 March 2011 Webcast: The Compliant Advisor - A Roadmap to Protecting Your Business
October 27, 2009 Webcasts: "Trace of Doubt" (English); Les tendances dans la mise en application en 2009 (French)
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