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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:
This webcast will be available on March 29, 2023.
There will be 0.75 Compliance continuing education credits available.
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:
Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.