New Paradigms in Market Oversight (IIROC Compliance Conference 2013)
IIROC’s Enforcement Update (IIROC Compliance Conference 2013)
Recording of the Live Tips for Traders, Vancouver – August 16, 2013
The Use of Business Titles and Financial Designations by Retail Advisors
Client Relationship Model Implementation: Relationship Disclosure and Enhanced Suitability Assessment
Client Relationship Model Implementation: Management and Disclosure of Conflicts of Interest
Client Relationship Model Implementation: Account Performance Reporting
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.