New Webcast: Panel Auditors Annual Conference – November 2025

Overview

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 and Auditors to assist in planning for future investment dealer and mutual fund dealer audits.

Investment Dealer and Mutual Fund Dealer CFOs also attend as the content is relevant to CFO responsibilities.

This webcast is a recording of the Panel Auditors Virtual Conference held on Thursday, November 6, 2025.

Speakers

• Ciro Mirabella, Vice-President, Financial and Operations Compliance, CIRO
• Tamara Jones, Chair, Panel Auditor Committee and Partner, Assurance, PWC LLP
• Dennis Dirksen, Director, Financial and Operations Compliance-ID, CIRO
• Caroline Ou, Director, Financial and Operations Compliance-MFD, CIRO
• Ilana Singer, Senior VP and Corporate Secretary, CIPF
• Catherine Rahwan, Director, Financial and Operations Policy, Member Regulation, CIRO
• Sherry Tabesh, Vice-President, Proficiency, CIRO
• Sydney De Marchi, Manager Financial and Operations Compliance-ID, CIRO
• Irene Cheung, Manager, Financial and Operations Compliance-MFD, CIRO
• Samantha Duffield, Manager, Financial and Operations Compliance-MFD, CIRO
• James Elliott, Manager, Financial and Operation Compliance-ID, CIRO
• Andy Ng, Manager, Financial and Operations Compliance-MFD, CIRO
• Kun Kim, Manager, Financial and Operations Compliance-ID, CIRO
• Robert DeGoeij, Manager, Financial and Operations Compliance-ID, CIRO
• Nancy Catton, Manager, Financial and Operations Compliance-ID, CIRO

Topics

In this session, presenters covered the following updates:

• Panel Auditor Committee Update,
• Industry Performance and Trends,
• CIPF Update,
• Regulatory Policy Update,
• CIRO’s New Proficiency Model,
• Financial and Operations Compliance Integrated Risk Model and Noteworthy Examination/AWP/Form 1 Findings,
• Cybersecurity Trends, and
• Crypto Asset Trading Platforms.

CE Credits

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

Register for the webcast