New Webcast: Panel Auditors Annual Conference – November 2024

CIRO 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 CIRO 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. Investment Dealer CFOs also attend as the content is also relevant to CFO responsibilities.

This year we extended the invitation to Mutual Fund Dealer Auditors and CFOs.

This webcast is a recording of the Panel Auditors Virtual Conference held on Thursday, November 7, 2024.

Topics covered include Panel Auditor Committee Update, Industry Performance and Trends, CIRO Strategic Initiatives, CIPF Update, Regulatory Policy Update, Financial and Operations Compliance Current Issues and Noteworthy Examination/AWP/Form 1 Findings, Membership Intake Update.

The Moderator and Presenters include:

• Ciro Mirabella, Vice-President, Financial and Operations Compliance, CIRO
• Tamara Jones, Chair, Panel Auditor Committee and Partner, Assurance, PWC LLP
• Dennis Dirksen, Director, Financial & Operations Compliance-ID, CIRO
• Caroline Ou, Director, Financial & Operations Compliance-MFD, CIRO
• Alexandra Williams, Senior Vice-President, Member Regulation and Strategy, CIRO
• Donna Yiu, Director, Industry Policy & Risk, CIPF
• Catherine Drennan, Director, Member Regulation, CIRO
• Alex Kim, Manager, Financial & Operations Compliance-ID, CIRO
• Andy Ng, Manager, Financial & Operations Compliance -MFD, CIRO
• Samantha Duffield, Manager, Financial & Operations Compliance-MFD, CIRO
• Sydney De Marchi, Manager, Financial & Operation Compliance-ID, CIRO
• Irene Cheung, Manager, Financial & Operations Compliance-MFD, CIRO
• Kun Kim, Manager, Financial & Operations Compliance-ID, CIRO
• Robert DeGoeij, Manager, Financial & Operations Compliance-ID, CIRO
• Marinela Mariscal, Vice-President, Membership Intake, CIRO
• Harsh Khiara, Manager, Membership Intake, CIRO

There will be 2.00 Compliance continuing education credits available under the Investment Dealer (formerly IIROC) CE program and 2.00 Business Conduct (non-ethics) credits available under the Mutual Fund Dealer (formerly MFDA) CE program.

Register for the webcast.

View CIRO’s full list of CE accredited webcasts.