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Common Examination Findings

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Continuing Education Credit

Compliance CE credit : 0.75

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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

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