Kevin McCoy, Vice-President, Market Compliance and Policy, IIROC and Alex Taylor, Vice-President, Surveillance, IIROC, discussed the following topics in this webcast:
- Complex Order Types
- Odd Lot Trading – observations
- Trade Halts in Canada
- Messaging Rates
- ETF NAV Trades – refresher
- Cross Asset Surveillance
- Seeking Exemptions from UMIR – rules proposal
- Short Selling
The webcast will be available on Wednesday, September 28 at 7 a.m. Eastern Time and on a 24/7 basis after that date.
There will be 0.50 Compliance continuing education credits available.
Welcome to CIRO.ca!
We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.
You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).
We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.