The Compliance team of The New Self-Regulatory Organization of Canada, a consolidation of IIROC and the MFDA, regularly examines Dealer Member firms to assess each firm’s compliance with applicable rules and applicable securities legislation. The Trading Conduct Compliance team monitors the trading related activities of Dealer Members and ensures that firms have implemented policies, procedures and controls to prevent and detect potential negative impacts to market integrity and comply with applicable requirements.
The second session in the SRO Examination Series,
- looks ‘under the hood’ of what the New SRO looks for,
- how firms should best prepare,
- how to ultimately ensure your TCC exam comes to a successful conclusion.
This session is ideal for CCOs, Traders, Trading Supervisors and staff involved in Compliance or Supervision.
This session is eligible for 1 Compliance credit from IIROC accreditations.
Manager – Trading Conduct Compliance
New Self-Regulatory Organization of Canada
Executive Director – Supervision & Governance
CIBC Capital Markets
SVP – Canadian Capital Markets Compliance
Canaccord Genuity Group
Tellico Group Ltd
Managing Director and Chief Compliance Officer
BMO Capital Markets Canada