Tips for Traders Montreal – November 162023

23-0168
Type:
Education Bulletin
Distribute internally to
Corporate Finance
Credit
Institutional
Internal Audit
Legal and Compliance
Operations
Registration
Regulatory Accounting
Research
Retail
Senior Management
Trading Desk
Training
Division
Investment Dealer
Mutual Fund Dealer

Contact

CIRO is pleased to invite you to attend “Tips for Traders Montreal”, which will take place on Thursday, November 16, 2023, from 4:30-5:30 pm (registration opens at 4:00 pm), at the Fairmont The Queen Elizabeth, Centre-Ville Room, lobby level, 900 Rene-Levesque West, Montreal. A reception will take place following the presentation.

While most of the presentation will be in English, some content will be delivered in French.

CIRO’s Alex Taylor, Vice-President, Market Surveillance, Sonali GuptaBhaya, Vice-President, Market Policy and Trading Conduct Compliance (acting), and Michael Librizzi, Director, Trading, Montreal will highlight the following topics:

  • Short Selling
  • SEC Market Proposals – Canadian Consultation
  • ETF Trading Review
  • Surveillance Update (trends, cross asset and crypto)
  • Incident Response Plan and Crisis Communication Centre Tests
  • Cross Printing – Common Questions
  • Issuer Market Structure Education Session

This event qualifies for Compliance CE credit. CE letters will be distributed at the conclusion of the presentation.

Register for the November 16 event.

23-0168
Type:
Education Bulletin
Distribute internally to
Corporate Finance
Credit
Institutional
Internal Audit
Legal and Compliance
Operations
Registration
Regulatory Accounting
Research
Retail
Senior Management
Trading Desk
Training
Division
Investment Dealer
Mutual Fund Dealer

Contact

Other Notices associated with this Enforcement Proceeding: