Trading Conduct, Business Conduct and Financial Operations Compliance, followed by an Enforcement Update


Continuing Education Credit

Compliance continuing education credit: 2.25

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This webcast features a trading conduct, business conduct and financial and operations compliance industry panel that will discuss the steps taken by IIROC and Dealer Members in response to the pandemic.

Program Details

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Welcome to!

We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at with our fresh look and feel.

You can now find new publications published by CIRO since January 1, 2023 on If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.

You can now find previous Annual Reports and Enforcement Reports on, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).

We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.