home home  
 
 
 
 
 
 

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.

Please note that any webcasts posted in this catalogue can provide credits for the current CE cycle. However, if you already used a webcast to meet your CE requirements in a previous cycle, you may not use the same webcast for CE credit again in another CE cycle.


June 23, 2020
New Webcast: Overview of the Canadian Investor Protection Fund (CIPF)
Compliance continuing education credit: 0.5
Program details


June 11, 2020
New Webcast: IIROC and the Regulation of Crypto-Asset Trading
Compliance continuing education credit: 1
Program details


January 29, 2020
Recording of the Tips for Traders Montreal session – November 28, 2019
Compliance continuing education credit: 1.5
Program details


December 10, 2019
IIROC’s Regulatory Priorities 2019-2020
Compliance continuing education credit: 1
Program details


November 18, 2019
Protecting Investors: Dealing with Vulnerable Investors/Safe Harbour
Compliance continuing education credit: 1
Program details


October 7, 2019
Cybersecurity Tips for Advisors
Compliance continuing education credit: 0.5
Program details


September 3, 2019
Cybersecurity and the Insider Threat
Compliance continuing education credit: 1
Program details


July 31, 2019
Highlights of IIROC’s 2018 Annual Enforcement Report
Compliance continuing education credit: 0.5
Program details


June 19, 2019
IIROC’s Compliance Priorities and Updates
Compliance continuing education credit: 0.75
Program details


May 29, 2019
Canada’s Neighbourhood Financial Health Index
Continuing Education Professional Development Credits: 0.75
Program details


April 29, 2019
Tips for Traders Montreal (Recorded on November 29, 2018)
Compliance continuing education credit: 1.5
Program details


April 1, 2019
The Evolution of Advice- Challenges and Opportunities - Panel Discussion from the 2018 IIROC Annual Conference
Compliance continuing education credit: 1
Program details


April 1, 2019
The Evolution of Advice - Keynote Presentation from the 2018 IIROC Annual Conference
Compliance continuing education credit: 0.5
Program details

February 13, 2019
Vulnerable Investors
Compliance continuing education credit: 1
Program details


December 5, 2018
The Role of Data Science in the Future of Market Regulation
Compliance continuing education credit: 0.5
Program details

July 30, 2018
Highlights of IIROC’s 2017 Annual Enforcement Report
Compliance continuing education credit: 0.5
Program details


May 9, 2018
Membership Disclosure-Benefits of IIROC Membership
Compliance continuing education credit: 0.5
Program details


April 9, 2018
"The Role of Supervision Versus Compliance" presentation from the 2017 IIROC Compliance Conference
Compliance continuing education credit: 1.0
Program details


March 8, 2018
Compensation-related Conflicts of Interest Presentation from the 2017 IIROC Compliance Conference
Compliance continuing education credit: 1.0
Program details


February 12, 2018
UMIR 7.1 Amendments Workshops
Compliance continuing education credit: 1.0
Program details


December 5, 2017
Overview of the Canadian Investor Protection Fund
Compliance continuing education credit: .75
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


January 31, 2017
Conflicts of Interest and Best Interest
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


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


arrowback to top

       tool bar