Registration & Breakfast: 8:00 am
Start Time: 9:00 am
End time: 10:30 am
Location: 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 Business Conduct Compliance (BCC) team monitors business conduct related activities of Dealer Members and their registered individuals, seeking to ensure that firms have implemented policies, procedures, and controls to conduct and supervise their lines of business in compliance with applicable rules and to protect investors. In this third session of the SRO Examination Series, 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 BCC exam comes to a successful conclusion.
This session is ideal for CCOs, Supervisors, Branch Managers and staff involved in Compliance or Supervision.
For virtual registration, please click here.
Natalie Hawthorne, Manager, Business Conduct Compliance, NEW SRO
Janet Lapointe, Manager Business Conduct Compliance, New SRO
Wayne Bolton, Principal, Compliance, Edward Jones
Dan Bowering, Chief Compliance Officer, Coinsquare
Leo Purcell, President & CEO, Comarm Solutions
*** This session may be eligible for CE credits ***
Bookings are closed for this event.