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.