Highlights of IIROC’s 2021 – 22 Enforcement Report

Date

Continuing Education Credit

Compliance CE credit : 0.5

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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

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