New Webcast: Notifying CIRO of Business Changes
This webcast introduces the new Request for Business Change template that CIRO Investment Dealers will be asked to complete and include in their business change submissions to CIRO. A Business Change can be a material change to an Investment Dealer’s business activities or changes to its ownership and/or corporate structure.
IDPC rules require CIRO Investment Dealers to notify CIRO in writing prior to making any material changes to business activities and/or changes to ownership or corporate structure. CIRO’s approval must be obtained prior to enacting these changes. Included in the notification to CIRO, Investment Dealers are asked to complete the new Request for Business Change template in addition to any supporting documentation. The webcast will expand on the notification requirement and provide an overview of the Request for Business Change template as a tool to assist Investment Dealers in outlining the change proposal.
- Noel Sequeira, Manager, Membership Intake
- Yassmine Ghobrial, Manager, Membership Intake
This webcast will be available on July 7, 2023.
There will be 0.25 Compliance continuing education credits available.
This webcast does not qualify for credit under the MFD continuing education program.
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.