EVENTS

SRO Examination Series 1: Financial Operations (FinOps)

Description

Date: 03/02/2023

Breakfast & Registration: 8:00 am

Start time: 9:00 am

End time: 10:30 am

Location: Sheraton Centre Toronto, 123 Queen St W, Birchwood Room (mezzanine level)

 

Register for the event here.

 

The Compliance teams at IIROC/The New SRO regularly examines Dealer Member firms to assess each firm’s compliance with applicable rules and applicable securities legislation. The Financial & Operations Compliance (FINOPS) team monitors the solvency of all Dealer Members and ensures that business activities are conducted within prescribed capital limits and also monitors Dealer Member adherence to operational rules, including the safeguarding of customer assets. In this first session of the SRO Examination Series, industry experts will offer a look ‘under the hood’ of what IIROC/The New SRO looks for, how firms should best prepare, and how to ultimately ensure your FinOps exam comes to a successful conclusion.

This session is ideal for new or current CCOs, Compliance and Finance Department Staff of Brokerage firms; in addition to those of Mutual Funds Dealers, who have not previously been subject to an IIROC examination; or those who may need a refresher.

 

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