Webcast Catalogue

IIROC offers free online Continuing Education courses, like video webcasts, seminars and other public events hosted by IIROC staff and industry professionals.

For webcast-related issues, please email [email protected] for assistance.

Webcast Catalogue

09/14/23

SRO Examination Series #1: Financial Operations (FINOPS) hosted by the Investment Industry Association of Canada (IIAC)

Compliance CE credit : 1.0

07/07/23

Notifying CIRO of Business Changes

Compliance CE credit : 0.25

04/14/23

Panel Auditors Annual Conference

Compliance CE credit : 1.75

03/29/23

Common Examination Findings

Compliance CE credit : 0.75

03/16/23

Failed Trade Study

Compliance CE credit : 0.25

03/01/23

Effective Supervision

Compliance CE credit : 0.50

02/21/23

Dual-Registration Questionnaire for Existing Members

This webcast does not qualify for CE credit

01/26/23

Tips for Traders - Montreal

Compliance CE credit : 1.0

12/01/22

Consolidation of IIROC and the MFDA

Compliance CE credit : 0.25

09/28/22

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

Compliance continuing education credit: 0.50

07/21/22

IIROC Cybersecurity Self-Assessment Checklist

Compliance CE credit : 0.75

07/07/22

Highlights of IIROC’s 2021-22 Enforcement Report

Compliance CE credit : 0.5

06/23/22

Member Information Session about New SRO Public Comment Materials

Compliance CE credit : 1.0

04/12/22

Highlights of IIROC’s 2021 – 22 Compliance Priorities Report

Compliance continuing education credit: 0.5

03/17/22

Helping Members Navigate the IIROC Rules and Guidance Notes

This 10-minute webcast is not eligible for continuing education (CE) credit

02/24/22

IIROC - IIAC Innovation Forum: Digital Personalization

Compliance continuing education credit: 1.0

02/03/22

IIROC - IIAC Innovation Forum: Technology is the question, not always the answer OR what have you done for me lately…

Compliance continuing education credit: 1.0

01/13/22

IIROC - IIAC Innovation Forum: How Regulators Can Support Innovation

Compliance continuing education credit: 1.0

12/09/21

Quebec’s Bill 64 regarding the Protection of Personal Information

Compliance continuing education credit: 0.75

11/30/21

Overview of IIROC’s Plain Language Rules Series

Compliance continuing education credit: 2.5

11/25/21

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

Compliance continuing education credit: 1.0

11/16/21

CIPF and CDIC: Coverage and Disclosure

Compliance continuing education credit: 1.0

10/28/21

IIROC’s Virtual Conference about Equity, Diversity, Inclusion and Anti-Racism

Professional development continuing education credit: 1.0

07/29/21

Highlights of IIROC’s 2020 – 21 Enforcement Report

Compliance continuing education credit: 0.5

02/08/21

A Conversation with the Chair of the Ontario Capital Markets Modernization Taskforce

Compliance continuing education credit: 1.5

02/03/21

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

Compliance continuing education credit: 2.25

12/23/20

Conversation with the Quebec Minister of Finance and the IIROC Priorities Panel

Compliance continuing education credit: 1.5

10/29/20

Cybersecurity Threat Landscape

Compliance continuing education credit: 1.25

10/29/20

Cybersecurity Governance

Compliance continuing education credit: 1.25

10/08/20

IIROC and Client Identifiers Online Workshop 2

Compliance continuing education credit: 1.5

09/21/20

Access to Advice

Professional development continuing education credit: 1.0

08/20/20

Client Identifiers Online Workshop

Compliance continuing education credit: 1.5

06/23/20

Overview of the Canadian Investor Protection Fund (CIPF)

Compliance continuing education credit: 0.5

06/11/20

IIROC and the Regulation of Crypto-Asset Trading

Compliance continuing education credit: 1

Webcast Catalogue

Webcast Catalogue

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