CCLS Education Sub-Committee
  • Home
  • Upcoming Events
  • Past Events
    • 2024 >
      • 2024-Annual Conference
      • 2024- Seminars
      • 2024 - Annual Golf Tournament
    • 2023 >
      • 2023 - Annual Conference
      • 2023-Seminars
      • 2023- Annual Golf Tournament
    • 2022 >
      • 2022-Education Week
      • 2022-Seminars
      • 2022 - Annual Golf Tournament
    • 2021 >
      • Education Week - December 6 - 10, 2021 >
        • Cryptocurrency - A Brave New World
        • COVID – Best Practices/Lessons Learned
        • Margin Requirements/E-22
        • TSX Market on Close (MOC) Modernization
        • Keynote - Laura Paglia
        • CFR: COI - Post Implementation and Key Lessons Learned
      • 2021 - Seminars
    • 2020 >
      • 2020-Seminars
    • 2019 >
      • 2019 Annual Conference
      • 2019-Seminars
      • 2019 - Annual Golf Tournament
    • 2018 >
      • 2018 Annual Conference
      • 2018-Seminars
      • 2018 - Annual Golf Tournament
    • 2017 >
      • 2017 Annual Conference
      • 2017-Seminars
      • 2017 - 7th Annual Golf Tournament
    • 2016 >
      • 2016 Annual Conference
      • 2016 - 6th Annual Golf Tournament
      • 2016 - Seminars
    • 2015 >
      • 2015 Annual Conference
      • 2015 - 5th Annual Golf Tournament
      • 2015 - Seminars
    • 2014 >
      • 2014 Annual Conference
      • 2014 - 4th Annual Golf Tournament
      • 2014 - Seminars
    • 2013 >
      • 2013 Annual Conference
      • 2013 - 3rd Annual Golf Tournament
      • 2013 - Seminars
    • Past Events
  • Podcasts
  • Sponsors
  • Subscribe
  • Contact Us
  • Helpful Links
Picture


Picture
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].

Continuing Education Credits

CIRO CE CREDITS:
  • 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. 

​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.