Webcast Catalogue

CIRO offers free online Continuing Education courses, like video webcasts, seminars and other public events hosted by CIRO staff and industry professionals.

For webcast-related issues, please email [email protected] for assistance.

Webcast Catalogue

Results:

Client Focused Reforms: Conflicts of Interest & Joint Sweep CSA/CIRO Report

In this webcast, Lisa Caputo and Sasha Latka, Managers, Business Conduct Compliance will provide an overview of the amendments to the conflicts of interest requirements in the Client Focused Reforms that came into force on June 30, 2021.  They will also summarize the recent joint regulatory sweep of...

Continuing Education Credit:
Compliance CE credit : 0.5
Register for the webcast

Panel Auditors Annual Conference

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...

Continuing Education Credit:
Compliance CE credit : 1.75
Register for the webcast

Tips for Traders - Montreal

In this webcast, CIRO’s Claudyne Bienvenu, Vice-President, Québec and Atlantic Canada and Kevin McCoy, Senior Vice-President, Market Regulation Operations (acting) deliver the opening remarks.

Sonali GuptaBhaya, Vice-President, Market Policy and Trading Conduct Compliance (acting), Alex Taylor, Vice...

Continuing Education Credit:
Compliance CE credit : 1.0
Register for the webcast

Tips for Traders hosted by the Canadian Security Traders Association (CSTA)

CIRO’s Alex Taylor, Vice-President, Market Surveillance and Sonali GuptaBhaya, Vice-President, Market Policy and Trading Conduct Compliance (acting), discussed the following topics in this webcast:

  • Short Selling
  • Seeking UMIR Exemptions
  • ETF Trading
  • Surveillance Trends
  • SEC Market Proposals – Canadian...
Continuing Education Credit:
Compliance CE credit : 0.50
Register for the webcast

Highlights of CIRO’s 2024 Annual Priorities

This webcast highlights CIRO’s Annual Priorities and details the significant activities and initiatives that CIRO is focusing on during this fiscal year, including:  

  • Harmonization of CIRO’s regulatory approach;
  • How CIRO will continue to deliver on the regulatory mandate and support investors through...
Continuing Education Credit:
Compliance CE credit : 0.50
Register for the webcast

Highlights of CIRO’s 2022-23 Enforcement Report

Enforcement plays a key role in our mission to support investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments. CIRO’s Enforcement team is committed to pursuing cases that prevent future wrongdoing and...

Continuing Education Credit:
Compliance CE credit : 0.50
Register for the webcast

CIPF Coverage: Demystifying Common Myths

A new training seminar “CIPF Coverage: Demystifying Common Myths” has been developed by the Canadian Investor Protection Fund (CIPF) to help individuals employed by CIRO member firms learn about CIPF while meeting their Compliance CE requirements.

This webcast provides an overview of CIPF and covers...

Continuing Education Credit:
Compliance CE credit : 0.50
Register for the webcast

CIRO Advisory Committees

This webcast provides an overview of CIRO’s advisory committee structure, summarizing the role and structure of the following:

  • Financial and Operations Advisory Section (FOAS)
  • Conduct, Compliance and Legal Advisory Section (CCLS)
  • Market Rules Advisory Committee (MRAC)
  • Fixed Income Advisory Committee (FI...
Continuing Education Credit:
Compliance CE credit : 0.50
Register for the webcast

SRO Examination Series #1: Financial Operations (FINOPS) hosted by the Investment Industry Association of Canada (IIAC)

The Compliance teams at the Canadian Investment Regulatory Organization (CIRO) regularly examine Dealer Member firms to assess each firm’s compliance with CIRO rules and applicable securities legislation. The Financial & Operations Compliance (FINOPS) team monitors the solvency of all Dealer Members...

Continuing Education Credit:
Compliance CE credit : 1.0
Register for the webcast

Notifying CIRO of Business Changes

This webcast introduces the new Request for Business Change template that CIRO Investment Dealers will be asked to complete and include in their business change submissions to CIRO. A Business Change can be a material change to an Investment Dealer’s business activities or changes to its ownership...

Continuing Education Credit:
Compliance CE credit : 0.25
Register for the webcast