This webcast highlights the New SRO, Investment Dealer Division’s common examination findings noted by Financial and Operations Compliance, Trading Conduct Compliance and Business Conduct Compliance teams.
Topics covered include internal controls, books and records, margin requirements, cybersecurity, reconciliations, order markers, artificial pricing, debt transaction reporting, short selling and reporting, conflicts of interest, retail supervision, outside activities and limitation of liability.
- Suzanne Lasrado, Vice-President, Member Services & Innovation
- Vern Bennington, Manager, Financial and Operations Compliance
- Louis Roberts, Senior Business Conduct Compliance Examiner
- Peter Wong, Team Lead, Trading Conduct Compliance
- Rachel Yu, Manager, Financial and Operations Compliance
This webcast will be available on March 29, 2023.
There will be 0.75 Compliance continuing education credits available.
Register for the webcast.
View the Investment Dealer Division’s (formerly IIROC) full list of CE accredited webcasts.
View the Mutual Fund Dealer Division’s (formerly MFDA) full list of CE accredited webcasts.
Note: Participants in the Mutual Fund Dealer Division CE program can take the IIROC CE accredited webcasts and enter attendance on the MFDA CE Reporting and Tracking System (CERTS). Please refer to the Course Catalogue in CERTS to confirm eligibility.