The Compliance teams at 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 New SRO 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.
The first session in the SRO Examination Series,
- looks ‘under the hood’ of what the New SRO looks for,
- how firms should best prepare,
- how to ultimately ensure your FinOps exam comes to a successful conclusion.
This session is ideal for CFOs, Operations, Finance and Compliance staff of firms. Whether you are new to the role, or a veteran who is looking for a refresher, this session will provide valuable information.
This session is eligible for 1 Compliance credit from IIROC accreditations.
Panelists
Dennis Dirksen
Manager – Financial & Operational Compliance
New SRO
Karly Healey
Chief Financial Officer, Director, Head of Operations
Cormark Securities Inc.
