Highlights of IIROC’s Compliance Priorities Report

Date

Continuing Education Credit

Compliance continuing education credit: 0.5

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This webcast highlights regulatory developments, issues, trends identified, and steps taken by IIROC to help firms with compliance while ensuring investor protection. IIROC 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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