Continuing Education Credit
Compliance CE credit : 1.0
The Compliance teams at the Canadian Investment Regulatory Organization (CIRO) regularly examine Dealer Member firms to assess each firm’s compliance with CIRO rules and applicable securities legislation. The Financial & Operations Compliance (FINOPS) team monitors the solvency of all Dealer Members and ensures that business activities are conducted within prescribed capital limits and also monitors Dealer Member adherence to operational rules, including the safeguarding of customer assets.
In this first session of the SRO Examination Series, industry experts will offer a look ‘under the hood’ of what CIRO looks for, how firms should best prepare, and how to ultimately ensure your FINOPS exam comes to a successful conclusion.