Common Examination Findings


Continuing Education Credit

Compliance CE credit : 0.75

Register for the webcast

More Details

This webcast highlights the New SRO, Investment Dealer Division’s common examination findings noted by Financial and Operations Compliance, Trading Conduct Compliance and Business Conduct Compliance teams.

Topics covered include internal controls, books and records, margin requirements, cybersecurity, reconciliations, order markers, artificial pricing, debt transaction reporting, short selling and reporting, conflicts of interest, retail supervision, outside activities and limitation of liability.

Panelists include:

  • Suzanne Lasrado, Vice-President, Member Services & Innovation
  • Vern Bennington, Manager, Financial and Operations Compliance
  • Louis Roberts, Senior Business Conduct Compliance Examiner
  • Peter Wong, Team Lead, Trading Conduct Compliance
  • Rachel Yu, Manager, Financial and Operations Compliance

Program Details

Back to Continuing Education

Welcome to!

We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at with our fresh look and feel.

You can now find new publications published by CIRO since January 1, 2023 on If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.

You can now find previous Annual Reports and Enforcement Reports on, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).

We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.