New Webcast: Client Identifiers Online Workshops are now available in both English and French

The Client Identifiers Amendments for Listed Securities will come into effect on July 26, 2021.

Part one of the workshop will help you understand the compliance and implementation issues associated with the Amendments, and will cover:.

• the new requirements for listed securities;
• what to include on an order in various scenarios using tools available on the Client Identifiers section of the IIROC website, such as the FIX Specifications;

• responsibilities of the originating Dealer Member and the executing Dealer Member; and,

• enhancements to the Regulatory Marker Correction System.

The IIROC presenters are:

• Kevin McCoy, Vice-President, Market Policy and Trading Conduct Compliance
• Sonali GuptaBhaya, Director, Market Regulation Policy
• Theodora Lam, Senior Policy Counsel, Market Regulation Policy
• Amit Patel, Director, Application Management Services
• Helen Hogarth, Product Manager, Market Surveillance and Trading Review and Analysis
• Debbie Urquhart, Executive Assistant, Market Regulation Policy

This English version of this webcast was previously released on August 20, 2020 at 7:00 am Eastern time and is available on a 24/7 basis.

Your participation in this webcast will earn you 1.5 hours of IIROC Continuing Education Compliance Credits.

Click here to register

Part two of the workshop is geared towards technical staff at Dealer Members and their vendors. At this workshop, we will review:

• implementation milestones leading up to the July 26, 2021 implementation date, including schedules for testing and certification;
• production rollout details for Dealer Members and marketplaces;
• encryption of client LEIs, including;
• technical specifications for encryption;
• enrollment process for Dealer Members;
• encryption key rotation process, including the delivery of encryption keys and the acknowledgement of receipt of keys by Dealer Members; and,
• sample encryption code.

Our presenters are:

• Kevin McCoy, VP, Market Policy and Trading Conduct Compliance, Market Regulation Policy
• Amit Patel, Director, Application Management Services, Information Technology
• Helen Hogarth, Product Manager, Trading Review and Analysis / Market Surveillance
• Stephen Weng, Manager, Surveillance Application Development, Information Technology
• Vic Nyalakonda, Manager, Quality Assurance – Acting, Information Technology
• Sid Patel, Senior Business Systems Analyst, Information Technology
• Leanne Weaver, Senior Project Manager, Enterprise Portfolio Management Office

This English version of this webcast was previously released on October 8, 2020 at 7:00 am Eastern time and is available on a 24/7 basis.

Your participation in this webcast will earn you 1.5 hours of IIROC Continuing Education Compliance Credits.

Click here to register

To register for this webcast, please click on the link above. To access a full list of available CE accredited webcasts, please click here.

To access all upcoming Member Education Services Events, simply subscribe to IIROC’s ePublications service at www.iiroc.ca and select the following categories: “Education Notices” and “Member Events.” ePublications is a free, self-managed system, whereby subscribers can change their selection criteria whenever and as many times as they want, making it a quick and easy way to receive information.