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 Trading Conduct Compliance team monitors the trading related activities of Dealer Members and ensures that firms have implemented policies, procedures and controls to prevent and detect potential negative impacts to market integrity and comply with applicable requirements.
The second 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 TCC exam comes to a successful conclusion.
Cette séance est idéale pour les chefs de la conformité et le personnel du service de la conformité et des finances des sociétés de courtage, nouveaux ou actuels, ainsi que pour les courtiers en fonds communs de placement qui n’ont jamais été soumis à un examen de l’OCRCVM ou qui ont besoin d’une mise à jour.
This session is eligible for 1 Compliance credit from IIROC accreditations.
Panelists
Ryan Blachford
Manager – Trading Conduct Compliance
New Self-Regulatory Organization of Canada
Tony Cancellara
Executive Director – Supervision & Governance
CIBC Capital Markets
Matt Cooper
SVP – Canadian Capital Markets Compliance
Canaccord Genuity Group
Wayne Groom
Managing Director
Tellico Group Ltd
Dave Moore
Managing Director and Chief Compliance Officer
BMO Capital Markets Canada