This webcast highlights common topics and best practices for effective supervision. It is aimed at providing you with knowledge of what our Business Conduct Compliance and Trading Conduct Compliance teams look for regarding compliance supervision during examinations. Topics covered include remote supervision; record keeping and inquiries; tiered supervision and the overall structure of supervision within the firm; a high-level look at UMIR supervision requirements; delegation; systems and tools.
The webcast panelists are:
- Gloria Law, Manager, Business Conduct
- Saran Forbes, Senior Business Conduct Compliance Examiner
- Gabby Rizzello, Business Conduct Compliance Examiner
- William Xu, Manager, Trading Conduct Compliance
Please note this webcast was recorded prior to the creation of the New Self-Regulatory Organization of Canada (a consolidation of IIROC and the MFDA). Therefore, there will be references to IIROC throughout.
This webcast will be available on March 1, 2023.
There will be 0.50 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.