Highlights of IIROC’s 2021 – 22 Enforcement Report


Continuing Education Credit

Compliance CE credit : 0.5

Register here

More Details

Enforcement plays a key role in our pursuit to protect investors and support healthy capital markets across Canada. IIROC’s Enforcement team is committed to pursuing cases that prevent future wrongdoing and improve industry standards and practices.

The webcast features Charles Corlett, IIROC’s Vice-President, Enforcement, Andrew Werbowski, IIROC’s Director, Enforcement Litigation, and Joanna Nicholson, IIROC’s Manager, Public Affairs as the moderator. In this session, participants will:

  • Provide an overview of enforcement’s priorities and goals;
  • Discuss key achievements and results; and
  • Touch upon some of the themes of the cases highlighted in the Enforcement Report.

Program Details

Back to Continuing Education

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.