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.

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