Industry News and Information

Education Notice

Contact:

Adrian Carter
Director, Member Education
Services
416 943-6247
acarter@iiroc.ca

Please distribute internally to:
Corporate Finance
Credit
Institutional
Internal Audit
Legal and Compliance
Operations
Registration
Regulatory Accounting
Research
Retail
Senior Management
Trading Desk
Training

11-0130
April 19 2011

April 2011 Webcast:

The 2010 Consolidated Compliance Examination Report and the Focus for the Current Examination Cycle

As always it remains important for all firms to maintain effective compliance and risk control programs within their businesses. This month’s webcast presents the 2010 Annual Consolidated Compliance Report which highlights some general and specific examination deficiencies found by the IIROC compliance teams during the 2010 Examination Cycle including: Financial and Operations Compliance, Business Conduct Compliance and Trading Conduct Compliance. This report also highlights the examination focus of the current year examination program.

This webcast will be available for viewing on April 21, 2011at 4:00 pm Eastern Time.