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 Business Conduct Compliance (BCC) team monitors business conduct related activities of Dealer Members and their registered individuals, seeking to ensure that firms have implemented policies, procedures, and controls to conduct and supervise their lines of business in compliance with applicable rules and to protect investors. In this third session of the SRO Examination Series, industry experts will offer a look ‘under the hood’ of what The New SRO looks for, how firms should best prepare, and how to ultimately ensure your BCC exam comes to a successful conclusion.
This session is ideal for CCOs, Supervisors, Branch Managers and staff involved in Compliance or Supervision.
Panelists
Natalie Hawthorne
Manager – Business Conduct Compliance
NEW SRO
Janet Lapointe
Manager – Business Conduct Compliance
New SRO
Wayne Bolton
Principal – Compliance
Edward Jones
Dan Bowering
Chief Compliance Officer
Coinsquare
Leo Purcell
President & CEO
Comarm Solutions
