EVENTS

Home / Events

Description

Date: 09/27/23

Registration & Breakfast: 8:00 am

Start time: 9:00 am

End Time: 10:30 am

Location: IIAC Office, 100 Wellington St W, Toronto ON

 

WHAT DO YOU WANT TO KNOW ABOUT DERIVATIVES TRADE DESK REVIEWS?

The IIAC is delighted to welcome THE MONTREAL EXCHANGE, CIRO AND NATIONAL BANK FINANCIAL:

Speakers:

Karen McMeekin, President, Regulatory Division, Montréal Exchange

Michael Librizzi, Director, Trading Montreal, CIRO

Frank Barillaro, Senior Director, National Bank Financial, Managing Director Everton Carlisle Group

 

This special panel will provide:

  1. An Overview of Audit Options
  • Separate audits by the Bourse and CIRO?
  • Joint audits by the Bourse and CIRO?
  • Feedback received.

 

  1. Areas of Focus: Their Significance and Implications
  • Cross Asset Surveillance
  • Supervision of DEA Clients
  • Order Identifiers

 

  1. Procedural Considerations:
  • Escalation Triggers
  • Tips for Addressing Regulatory Inquiries

 

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

Bookings

Bookings are closed for this event.

Reset Forgotten Password
Forgot username? Click here

NOTE: Your username is your email address UNLESS you have changed it.

.

By providing us with your information, you agree that this information will be processed in accordance with the IIAC’s Privacy Policy, which can be found here.