Alert:
Canada Post continues to operate, but with expected delays in delivery. Should a strike occur, Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Misleading Communications: Advisor Ranking Contests
Project Details:
In this webcast, David Wright, Senior Counsel, Business Conduct Compliance, and Jeffrey Yewer, Senior Manager, Business Conduct Compliance, will discuss advisor ranking contests in a conversation moderated by Iris Titov, Member Education Consultant. The discussion provides an overview of the rules and requirements relating to advisor ranking contests and the misleading communications that may arise from advisor participation in such contests.
Continuing Education Credit:
Back to Webcast Catalogue Investment Dealer CE Credit: Compliance: 0.25; Mutual Fund Dealer CE Credit: Does not qualify for MFD CE credits
Welcome to CIRO.ca!
You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
The following sections of the legacy mfda.ca and iiroc.ca sites have been migrated to ciro.ca:
- Enforcement
- Hearings
- Consultations
- A unified member directory (Dealers We Regulate)
- Advisor Report
We will continue moving items off MFDA and IIROC in 2024. Stay tuned for future updates.