Webcast Catalogue

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...

Proficiency plays a key role in CIRO’s mission to protecting investors, to providing efficient and consistent regulation, and to building confidence in Canada’s capital markets. The new Proficiency model aims to raise the proficiency bar; allow for greater currency, relevancy, and responsiveness to...

The webcast features CIRO’s Harvey Asiedu-Akrofi, Legal Counsel, Proficiency, and Janet Lapointe, Senior Specialist, Proficiency Standards and Policy. In this session, presenters will:

• Provide an overview of the background and objectives of the Proficiency model;
• Discuss the framework; and
• Provide Firm...

The webcast features CIRO’s Harvey Asiedu-Akrofi, Legal Counsel, Proficiency, and Rita Kwok, Senior Proficiency Specialist. In this session, presenters will:

• Provide an overview of the background and objectives of the Proficiency model;
• Discuss the framework; and
• Provide guidance on the Exemptions...

Enforcement plays a key role in our mission to protect investors, provide efficient and consistent regulation, and build Canadians’ trust in financial regulation and the people managing their investments. CIRO’s Enforcement team pursues cases that prevent future wrongdoing and improve industry...

This webcast is a recording of the in-person “Tips for Traders” event which took place on November 21, 2024 in Montreal.

Program Details

On August 6, 2024, the Canadian Securities Administrators (CSA) and CIRO issued a news release reminding Crypto Asset Trading Platforms (CTPs) to prioritize their applications for registration as Investment Dealers and CIRO membership. In addition to the guidance and tools already available for...

CIRO recently announced enhancements to the tools available for Members to prepare notices of material changes in business activities (for Investment Dealer Members) and notices of proposed ownership changes. The new or updated tools for Members are intended to increase efficiencies for applicants...

This session provides a perspective on how the digital economy has developed over the years, including the role of digital assets and tokenization. The discussion also encompasses considerations around the application of distributed ledger technology and challenges and implications of such adoption...

This session explores emerging and disruptive technologies, with a focus on generative AI, and its impact and applications in the investment industry. This session also addresses some of the opportunities and challenges of employing these technologies, including additional considerations when...