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IIROC’s Tips for Traders hosted by the Canadian Security Traders Association (CSTA)

Date

Continuing Education Credit

Compliance continuing education credit: 0.50

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More Details

Kevin McCoy, Vice-President, Market Compliance and Policy, IIROC and Alex Taylor, Vice-President, Surveillance, IIROC, discussed the following topics in this webcast:

  • Complex Order Types
  • Odd Lot Trading – observations
  • Trade Halts in Canada
  • Messaging Rates
  • ETF NAV Trades – refresher
  • Cross Asset Surveillance
  • Seeking Exemptions from UMIR – rules proposal
  • Short Selling

Program Details

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MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.

Visit the New Self-Regulatory Organization of Canada website

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