Welcome to the Conduct, Compliance & Legal Advisory Section (CCLS) Education Sub-Committee of the Canadian Investment Regulatory Organization (CIRO).
We are a group of volunteers in the Compliance & Legal field, dedicated to providing CIRO 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 [email protected] or at [email protected].
We are a group of volunteers in the Compliance & Legal field, dedicated to providing CIRO 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 [email protected] or at [email protected].
Continuing Education Credits
CIRO CE CREDITS:
LSUC CPD HOURS:
- Participants in our Seminars are eligible for One (1) Continuing Education Credit (CE Credit) for each hour 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 CIRO'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:
Joy Allen (Co-Chair) Scotia Wealth
Neal Weston (Co-Chair) Sun Life Financial
Brad Rowland (Registration) iA Private Wealth
Sub-Committee Volunteers:
Andrew Dundass UBS Securities Canada Inc
Bonnie-Marie Henry iA Financial Group
Brian Choy Morgan Stanley Canada Limited
Brian Pynn BMO Financial Group
Firdaus Kapadia BMO Financial Group
Gillian Dingle Torys LLP
John Fabello Torys LLP
Jonathan Leruyet Coinsquare
Kelly Recinos Edward Jones
Marissa Cusi Edward Jones
Samantha Nagaratnam PwC Canada
Shailesh Ambike Questrade
Waffina Solaani Sunlife
CIRO SRO Representatives:
Michael Yeung
Wendy Sieukaran
Committee members ... Click Here to access the committee members' only site.