New Webcast: Highlights of CIRO’s 2024 Compliance Priorities Report: Helping Firms with Compliance

This webcast highlights CIRO’s 2024 Compliance Priorities Report: Helping Firms with Compliance which summarizes current issues that Members regulated by CIRO should focus on to promote investor protection and foster market integrity. The webcast also outlines initiatives that will support innovation and transformation in the industry. Topics discussed include Client Focused Reforms, upcoming changes to the compliance program, order markers and client identifiers, cybersecurity, experience requirements for Supervisors along with many other topics that will help dealers focus their risk management efforts to comply with our regulatory requirements.

The moderator and presenters include:

• Suzanne Lasrado, Vice President, Member Services & Innovation
• Louise Hamel, Vice President, Member Compliance
• Sonali GuptaBhaya, Vice President, Market Policy & Trading Conduct Compliance
• Ciro Mirabella, Vice President, Financial & Operations Compliance
• David McLellan, Director, Registration (Acting)

There will be 0.75 Compliance continuing education credits available under the Investment Dealer (formerly IIROC) CE program and 0.75 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.