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SRO Examination Series 4: Derivatives Trade Desk Review (Bourse de Montreal and CIRO)

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.

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