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Panel Auditors Annual Conference

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Continuing Education Credit

Compliance CE credit : 1.75

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New SRO Investment Dealers may only use an approved panel auditor for the audit of their books and records. The partner responsible for the audit of an Investment Dealer must have attended the CPA Canada In-depth Brokers and Investment Dealers Course specifically designed for auditors of investment dealers.

Each year in the Fall, the New SRO Financial and Operations Compliance Department presents a Panel Auditor Conference to provide an update to Panel Auditors to assist in planning for future investment dealer audits. We plan to invite industry CFOs to future conferences as the content is relevant to CFO responsibilities.

This webcast is a recording of the Panel Auditors Virtual Conference held on Thursday, November 3, 2022.

Program Details

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