New SRO Investment Dealers may only use an approved panel auditor for the audit of their books and records. The partner responsible for the audit of an Investment Dealer must have attended the CPA Canada In-depth Brokers and Investment Dealers Course specifically designed for auditors of investment dealers.
Each year in the Fall, the New SRO Financial and Operations Compliance Department presents a Panel Auditor Conference to provide an update to Panel Auditors to assist in planning for future investment dealer audits. We plan to invite industry CFOs to future conferences as the content is relevant to CFO responsibilities.
This webcast is a recording of the Panel Auditors Virtual Conference held on Thursday, November 3, 2022.
Topics covered include Panel Auditor Committee Update, Industry Performance During COVID, IIROC Strategic Initiatives and SRO Consolidation, CIPF Update, New SRO Investment Dealer Regulatory Policy Update, Financial and Operations Compliance Current Issues and Noteworthy Examination/Audit Working Papers/Form 1 Findings.
The Moderator and Presenters include:
- Ciro Mirabella, Director, Financial and Operations Compliance, New SRO
- David Tedesco, Chair, Broker Dealer Panel Auditor Committee and Partner, Audit, Financial Services, Ernst & Young LLP
- Dennis Dirksen, Manager, Financial & Operations Compliance, New SRO
- Richard Corner, Vice-President and Chief Policy Advisor, Member Regulation, New SRO
- Suzanne Lasrado, Vice-President, Member Services & Innovation (Acting), New SRO
- Rozanne Reszel, President, and CEO, CIPF
- Marc Facchini, Manager, Financial & Operations Compliance, New SRO
- Rachel Yu, Manager, Financial & Operations Compliance, New SRO
- Kun Kim, Manager, Financial & Operations Compliance, New SRO
- Vern Bennington, Manager, Financial & Operations Compliance, New SRO
- Rob DeGoeij, Manager, Member Compliance, New SRO
Stay tuned for the date of the 2023 Panel Auditor Conference!
There will be 1.75 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.