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New Webcast: IIROC’s Tips for Traders hosted by the Canadian Security Traders Association (CSTA)

21-0220
Type: Education Notice
Distribute internally to:
Corporate Finance
Credit
Institutional
Internal Audit
Legal and Compliance
Operations
Registration
Regulatory Accounting
Research
Retail
Senior Management
Trading Desk
Training

Contact:

Dianne Weatherby
Manager, Corporate Events and Member Education Services
Telephone:
416-646-7202
Email:
Email

Kevin McCoy, Vice-President, Market Compliance and Policy, IIROC and Alex Taylor, Vice-President, Surveillance, IIROC, discussed the following topics in this webcast:

  • ETF - Trading at the NAV
  • Closing Price Orders
  • MM vs mm
  • NCIBs - marking orders
  • LEI Implementation

Opening remarks were made Paula Sexsmith, Chair, Canadian Security Traders Association, and Victoria Pinnington, Senior Vice-President, Market Regulation, IIROC. 

The webcast will be available on Thursday, November 25, 2021 at 7 a.m. Eastern Time and on a 24/7 basis after that date.

There will be 1.0 Compliance continuing education credits available. 

Register for the webcast.

View IIROC’s full list of CE accredited webcasts.

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 www.mfda.ca and www.iiroc.ca.

Visit the New Self-Regulatory Organization of Canada website

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