SRO Examination Series 2 – Trading Conduct Compliance Exam


Date: 04/04/23

Start time: 8:00 am

End time: 10:30 am

Location: Investment Industry Association of Canada, 100 Wellington St W, Suite 1910, Toronto


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. In this second session of the SRO Examination, industry experts will offer a look ‘under the hood’ of what The New SRO looks for, how firms should best prepare, and 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.



Ryan Blachford, Manager, Trading Conduct Compliance, New Self-Regulatory Organization of Canada

Tony Cancellara, Executive Director, Supervision & Governance, CIBC Capital Markets

Matt Cooper, SVP, Canadian Capital Markets Compliance, Canaccord Genuity Group

Wayne Groom, Managing Director, Tellico Group Ltd

Dave Moore, Managing Director and Chief Compliance Officer, BMO Capital Markets Canada


*** This session may be eligible for CE credits ***

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