Project Details:
Firm, fair and effective enforcement is critical to protecting investors, enhancing industry standards, and strengthening market integrity. Each year, we publish the Enforcement Report to update investment and mutual fund firms, their representatives, the public and regulatory stakeholders about CIRO’s enforcement activities and priorities. In this webcast, members of the Enforcement team will share highlights of this year’s Enforcement Report.
Continuing Education Credit:
Back to Webcast Catalogue Investment Dealer CE Credit: Compliance: 0.5; Mutual Fund Dealer CE Credit: Business Conduct, Non-Ethics: 0.5