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Effective Supervision

Date

Continuing Education Credit

Compliance CE credit : 0.50

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This webcast highlights common topics and best practices for effective supervision. It is aimed at providing you with knowledge of what our Business Conduct Compliance and Trading Conduct Compliance teams look for regarding compliance supervision during examinations. Topics covered include remote supervision; record keeping and inquiries; tiered supervision and the overall structure of supervision within the firm; a high-level look at UMIR supervision requirements; delegation; systems and tools.

The webcast panelists are:

  • Gloria Law, Manager, Business Conduct
  • Saran Forbes, Senior Business Conduct Compliance Examiner
  • Gabby Rizzello, Business Conduct Compliance Examiner
  • William Xu, Manager, Trading Conduct Compliance

Program Details

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MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.

Visit the New Self-Regulatory Organization of Canada website

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