We have changed our name from Compliance and Legal Section (CLS) to Conduct, Compliance and Legal Advisory Section (CCLS).
Welcome to the Conduct, Compliance & Legal Advisory Section (CCLS) Education Sub-Committee of the Investment Industry Regulatory Organization of Canada (IIROC).
We are a group of volunteers in the Compliance & Legal field, dedicated to providing IIROC Member Firms with education on Compliance & Legal oriented topics. We do this via Breakfast Seminars, an Annual Conference generally held in December of each year and a Golf Tournament. Our aim is to serve your needs, so please do not hesitate to contact any of the members of the Education Sub-Committee with your suggestions or email the Sub-Committee at either chair@clseducation.ca or at registrations@clseducation.ca.
Welcome to the Conduct, Compliance & Legal Advisory Section (CCLS) Education Sub-Committee of the Investment Industry Regulatory Organization of Canada (IIROC).
We are a group of volunteers in the Compliance & Legal field, dedicated to providing IIROC Member Firms with education on Compliance & Legal oriented topics. We do this via Breakfast Seminars, an Annual Conference generally held in December of each year and a Golf Tournament. Our aim is to serve your needs, so please do not hesitate to contact any of the members of the Education Sub-Committee with your suggestions or email the Sub-Committee at either chair@clseducation.ca or at registrations@clseducation.ca.
Continuing Education Credits
IIROC CE CREDITS:
LSUC CPD HOURS:
- Participants in our Breakfast Seminars are eligible for One (1) Continuing Education Credit (CE Credit) towards fulfilling their Compliance Credits.
- Attendance for each hour at the Annual Conference entitles the attendee to One (1) Continuing Education Credit (CE Credit) per session for a maximum of Six (6) CE credits.
LSUC CPD HOURS:
- Our sessions may also be eligible to fulfil the Law Society of Upper Canada's requirements for Substantive CPD Hours. Substantive Hours may address substantive or procedural law topics and/or related skills and need not be accredited. Non-legal subjects may also be eligible for Substantive Hours if they are relevant to the lawyer's or paralegal's practice and professional development. Members of the LSUC should consult with their firm's Learning & Development departments for more information.
Our Mandate
Simply put, our mandate is to develop and deliver education programmes to the Compliance and Legal professionals employed by IIROC's member firms.
Generally, we organize and provide 3 breakfast seminars, 1 golf tournament, and 1 full-day Annual Conference each year. We strive to provide sessions covering information that is both timely and informative for both our large and small member firms, both in the retail and institutional areas, as well as topics that are of more general interest to our constituency.
Our committee is made up entirely of volunteers who donate their time and expertise.
Generally, we organize and provide 3 breakfast seminars, 1 golf tournament, and 1 full-day Annual Conference each year. We strive to provide sessions covering information that is both timely and informative for both our large and small member firms, both in the retail and institutional areas, as well as topics that are of more general interest to our constituency.
Our committee is made up entirely of volunteers who donate their time and expertise.
Our Committee
Sub-Committee Executive:
Bill Brown, Chair Mackie Research
Alexandra Diplaros, Vice-Chair CIBC Wood Gundy
Brad Rowland, Registrations Industrial Alliance Securities Inc.
Sub-Committee Volunteers:
Joy Allen Scotia Capital Inc
Shailesh Ambike Scotia Capital Inc
Denise Carson BMO Financial Group
Lily Chan Risk Management Services Inc.
Brian Choy Morgan Stanley Canada Limited
Shawn Collett TD Securities
Andrew Dundass UBS Securities Canada Inc.
John Fabello Torys LLP
Brian Pynn ATB Securities
Diana Quinn GMP Securities L.P.
Michael Smith IA Securities
Neal Weston Scotia Capital Inc.
Jilin Wen CIBC Capital Markets
Joe Zambito RBC Capital Markets
Marissa Cusi Edward Jones
Wendy Sieukaran BMO Nesbitt
Samantha Nagaratnam Ernst & Young LLP
Debbie Mugridge Richardson GMP
Jeffrey Arato Questrade Inc
Mamta Sharma BMO Capital Markets
Firdaus Kapadia Scotia Capital Inc.
IIROC SRO Representatives :
Darshna Amin
Dianne Weatherby
Committee members ... Click Here to access the committee members' only site.