New Webcast: Client Identifiers Online Workshop

Type: Education Notice
Distribute internally to:
Corporate Finance
Internal Audit
Legal and Compliance
Regulatory Accounting
Senior Management
Trading Desk


Evelyn Yallen
Manager, Corporate Communications

The Client Identifiers Amendments for Listed Securities will come into effect on July 26, 2021.

To help you understand the compliance and implementation issues associated with the Amendments, this webcast will cover:

  • the new requirements for listed securities;
  • what to include on an order in various scenarios using tools available on the Client Identifiers section of the IIROC website, such as the FIX Specifications;
  • responsibilities of the originating Dealer Member and the executing Dealer Member; and,
  • enhancements to the Regulatory Marker Correction System.

The IIROC presenters are:

  • Kevin McCoy, Vice-President, Market Policy and Trading Conduct Compliance
  • Sonali GuptaBhaya, Director, Market Regulation Policy
  • Theodora Lam, Senior Policy Counsel, Market Regulation Policy
  • Amit Patel, Director, Application Management Services
  • Helen Hogarth, Product Manager, Market Surveillance and Trading Review and Analysis
  • Debbie Urquhart, Executive Assistant, Market Regulation Policy

This webcast (currently only available in English), will be available for viewing on August 20, 2020 at 7:00 am Eastern time and on a 24/7 basis after that date.

Please note the French version of the webcast will be available in the coming weeks.

Your participation in this webcast will earn you 1.5 hours of IIROC Continuing Education Compliance Credits.

Click here to register

To register for this webcast, please click on the link above. To access a full list of available CE accredited webcasts, please click here.

To access all upcoming Member Education Services Events, simply subscribe to IIROC’s ePublications service at and select the following categories: “Education Notices” and “Member Events.” ePublications is a free, self-managed system, whereby subscribers can change their selection criteria whenever and as many times as they want, making it a quick and easy way to receive information.