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Webcast Catalogue & 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.
 


​​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

 


 

January 15, 2015
IIROC’s Enforcement Department’s Complaint and Investigative Processes, IIROC Enforcement Priorities and Review of some Noteworthy Cases
Compliance continuing education credit: 1.0
Program details

 


 

November 27, 2014​
Recording of the Market Structure and Best Execution Panel discussion at IIROC’s Annual Compliance Conference September 18, 2014​
Compliance continuing education credit: 1.0
Program details

 


 

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

 


 

August 11, 2014​
Recording of the Live Tips for Traders, Toronto, June 18, 2014
Compliance continuing education credit: 1.25
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

 

 

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