Webcast Catalogue

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

Program Details

A key theme of CIRO’s Compliance Report for 2025: Helping Dealers with Compliance is the relationship between technologies used in the investment ecosystem and managing their risks to protect investors. This webcast outlines some of the emerging issues and challenges that Members regulated by CIRO...

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...

Technology has enabled greater access to financial markets for retail investors. This session explores the evolution, current state, and future trends of self-directed investing and order execution-only platforms. The panel discusses the challenges and opportunities presented by the rise of online...

This session provides an overview of the evolution of crypto assets and related infrastructure in Canada as well as an overview of the current regulatory framework. The panel explores some of the challenges faced by the industry, including the impact of the broader financial industry’s reluctance to...

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...

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...

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...