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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
11-Aug-14​ Recording of the Live Tips for Traders, Toronto, June 18, 2014 1.25​
26-Jun-14​ Working with Senior Clients 0.50​
19-Feb-14​ Borrowing for Investment Purposes, Suitability and Supervision Issues 1.0​
19-Dec-13​

New Paradigms in Market Oversight (IIROC Compliance Conference 2013)

0.75​
14-Nov-13​

IIROC’s Enforcement Update (IIROC Compliance Conference 2013)

0.75​
5-Sep-13

Recording of the Live Tips for Traders, Vancouver – August 16, 2013

0.75​
13-June-13

The Use of Business Titles and Financial Designations by Retail Advisors

0.75​

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
23-Nov-11
Beneficial Ownership of an Account: Important Rules to Know

0.75

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
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
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

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
​8/11/2014 Recording of the Live Tips for Traders, Toronto, June 18, 2014
6/26/2014 Working with Senior Clients
2/19/2014
Borrowing for Investment Purposes, Suitability and Supervision Issues
12/19/2013
New Webcast: New Paradigms in Market Oversight
11/14/2013
IIROC’s Enforcement Update
(IIROC Compliance Conference 2013)
09/05/2013
Recording of the Live Tips for Traders, Vancouver – August 16, 2013​
06/13/2013
01/13/2013
12/5/2012
11/22/2012
11/21/2012
11/7/2012
10/25/2012
10/4/2012
9/20/2012
8/31/2012
7/25/2012
7/10/2012
7/9/2012
6/29/2012
6/19/2012
6/6/2012
5/31/2012
5/8/2012
4/30/2012
3/15/2012
1/16/2012

 

 

 

 

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