IIROC to hold Montreal compliance seminar

Posted on November 2, 2009

The Investment Industry Regulatory Organization of Canada (IIROC) will be hosting a compliance seminar in Montreal on November 18 from 4:30 to 6:00 p.m. The event will be presented in English but provide attendees the opportunity to ask questions in both English and French. The topics to be covered include trading conduct compliance, best execution obligations and short sales. An on-demand webcast of the event, meanwhile, will be available on the IIROC website in January 2010. IIROC will also be releasing the French version of its annual webcast highlighting enforcement issues and concerns on November 10 at 4:00 p.m. IIROC's catalogue of English and French webcasts are available here.

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