Highlights of IIROC’s 2021 – 22 Compliance Priorities Report


Continuing Education Credit

Compliance continuing education credit: 0.5

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This webcast highlights IIROC’s Compliance Priorities Report, aimed to help firms address issues they should focus on to protect investors and support healthy Canadian Capital markets. Topics discussed include policy initiatives, strategies to continue to support transformation and innovation in the industry, and ongoing efforts and response to the impacts of the pandemic. Priorities stem from regulatory changes, risks and trends identified in firms’ business conduct, financial operations requirements, trading practices, as well as registration and membership filings and disclosures.

Program Details

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Welcome to CIRO.ca!

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

You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. 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 CIRO.ca, 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.