New Webcast: Common Examination Findings

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


Dianne Weatherby
Manager, Corporate Events and Member Education Services

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.

Panelists include:

  • 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.

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on and