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Webcast Catalogue and Program Details



Along with meeting our requirements for experience and professional standards, investment advisors registered with IIROC must complete mandatory continuing education courses to stay up-to-date on financial products, industry trends and IIROC rules.
 
IIROC offers continuing education opportunities through video webcasts, seminars and other public events with IIROC staff and other industry professionals.
 
 

August 10, 2017
Highlights of IIROC’s Annual Enforcement Report
Compliance continuing education credit: 0.5
Program details

 


June 14, 2017
Senior Advisors-Issues to Consider as Your Career Winds Down
Professional Development credit: 0.5
Program details

 


 

May 25, 2017​
Automated Advice and Suitability (Recorded at the 2016 IIROC Compliance Conference Toronto)
Compliance continuing education credit: 0.75
Program details

 


 

April 7, 2017​
Proposed Registration Changes
Compliance continuing education credit: 0.5
Program details

 


 

February 27, 2017​
The 2017 Compliance Priorities Report Highlights
Compliance continuing education credit: 0.5
 Program details

 


 

​​January 31, 2017​
Conflicts of Interest and Best Interest
Compliance continuing education credit: 0.5
 Program details

 


 

​​November 28, 2016​
Highlights of IIROC’s Annual Enforcement Report
Compliance continuing education credit: 0.5
Program details

 


 

October 25, 2016​
​The Use of Social Media in the Investment Industry
Compliance continuing education credit: 1.0
Program details

 


 

September 27, 2016​
​​The 2015-2016 Compliance Priorities Report Highlights
Compliance continuing education credit: 0.50
Program details

 


 

August 25, 2016
Tips for Traders Toronto (Recorded on June 15, 2016)
Compliance continuing education credit: 1.25
Program details

 


 

​July 20, 2016
Mystery Shopping Results and the KYC process
Compliance continuing education credit: 0.5
Program details

 


 

​June 13, 2016
​Dealing with Senior Clients
Compliance continuing education credit: ​1.0
Program details

 


 

​May 26, 2016
​Registration Reform Proposed Changes
Compliance continuing education credit: ​0.5
Program details

 


 

​May 5, 2016
Overview of IIROC Registration Department (Operations and Rules)
Compliance continuing education credit: 0.5​
Program details

 


 

March 17, 2016​
Recording of the Cybersecurity Webinar held on February 19, 2016
Compliance continuing education credit: 0.75
Program details

 


 

February 9, 2016
IIROC’s Enforcement and Registrations Update
Compliance continuing education credit: 1.0​
Program details

 


 

December 10, 2015​
Recording of the Market Structure Panel discussion at IIROC’s Annual Compliance Conference September 22, 2015
Compliance continuing education credit: 1.0
Program details

 


 

October 6, 2015​
Underwriting Due Diligence Guidance​
Compliance continuing education credit: 1.0
Program details

 


 

September 1, 2015
Tips for Traders, recorded in Toronto on June 18, 2015​
Compliance continuing education credit: 1.25​
Program details

 


 

July 29, 2015
Understanding CIPF Coverage​
Compliance continuing education credit: 1.0
Program details

 


 

June 4, 2015
Outside Business Activities and Personal Financial Dealings
Compliance continuing education credit: 1.0
Program details

 


 

March 5, 2015​
Close and Strict Supervision Sanctions​
Compliance continuing education credit: 1.0
Program details

 


 

October 22, 2014​
Client Complaints - Understanding the Process
Compliance continuing education credit: 0.75
Program details

 


  

February 19, 2014​
Borrowing for Investment Purposes, Suitability and Supervision Issues
Compliance continuing education credit: 1.0
Program details

 


 

​June 13, 2013
The Use of Business Titles and Financial Designations by Retail Advisors
Compliance continuing education credit: 0.75
Program details

 


 

March 16, 2012
Accredited Investors: Important Factors for Consideration
Compliance continuing education credit: 0.50
Program details

 


 

November 10, 2009
Trace of Doubt (A Case of Market Manipulation)
Compliance continuing education credit: 1.0
Program details

 

 

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