The Compliance teams at the Canadian Investment Regulatory Organization (CIRO) regularly examine Dealer Member firms to assess each firm’s compliance with CIRO rules and applicable securities legislation. The Financial & Operations Compliance (FINOPS) team monitors the solvency of all Dealer Members and ensures that business activities are conducted within prescribed capital limits and also monitors Dealer Member adherence to operational rules, including the safeguarding of customer assets.
In this first session of the SRO Examination Series, industry experts will offer a look ‘under the hood’ of what CIRO looks for, how firms should best prepare, and how to ultimately ensure your FINOPS exam comes to a successful conclusion.
This webcast was recorded prior to New SRO (the temporary name resulting from the consolidation of the former Mutual Fund Dealers Association of Canada and Investment Industry Regulatory Organization of Canada on January 1, 2023) changing its name to Canadian Investment Regulatory Organization (CIRO) on June 1, 2023. Therefore, there will be references to “New SRO” throughout the webcast.
This session is ideal for CFOs, Operations, Finance and Compliance staff of firms. Whether you are new to the role, or a veteran who is looking for a refresher, this session will provide valuable information.
- Chris Climo, Chief Operating Officer, IIAC
- Dennis Dirksen, Manager, Financial & Operations Compliance, CIRO
- Karly Healey, Chief Financial Officer, Director, Head of Operations, Cormark Securities Inc.
This webcast will be available on September 13, 2023.
There will be 1.0 Compliance continuing education credits available.
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.