In-depth brokers and investment dealers Agenda

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This is the agenda for
Day 1: Tuesday, October 30, 2018
7:30 – 8:30
Registration and Continental Breakfast

8:30 – 9:15
Canadian Securities Industry Regulatory Framework

9:15 – 9:45
IIROC Rule 300 Audit Requirements

9:45 – 10:30
Processing a Trade

10:30 – 10:45
Break

10:45 – 12:00
Brokerage and Clearing Operations

12:00 – 12:45
Lunch

12:45 – 2:45
Client Accounts

2:45 – 3:00
Segregation of Securities

3:00 – 3:15
Break

3:15 – 4:00
Security Lending/Borrowing & Financing Operations

4:00 – 5:00
Capital Formula Overview

This is the agenda for
Day 2: Wednesday, October 31, 2018
7:30 – 8:30
Continental Breakfast

8:30 – 9:00
Capital Formula Overview

9:00 – 10:00
Securities Inventory & Underwriting Margining

• Schedules 2, 2A, and 2B on Form 1

10:00 – 10:15
Break

11:30 – 12:00
Broker Accounts

• Schedule 5

12:00 – 12:45
Lunch

12:45 – 1:15
Income Tax Reporting

1:15 – 2:30
Review of other Form 1 Schedules

• Security Lending/Borrowing, and Repurchase/Reverse Repurchase transactions
Schedules 1 & 7 on Form 1
• Securities Concentration – Schedule 9 on Form 1
• Insurance – Schedule 10 on Form 1
• Unhedged Foreign Securities – Schedule 11 on Form 1
• Margin on Futures Concentrations and Deposits – Schedule 12 on Form 1
• Provider of Capital Concentration Charge – Schedule 14 on Form 1

2:30 – 2:45
Break

2:45– 3:30
Accounting Considerations – Module V

• IFRS 9 & 15
• Inventory valuation
• Underwriting price structure and profit calculation, and corporate finance revenue recognition
• Financial instruments

3:30 – 4:30
Reporting, Risk Management and Auditing Brokers and Investment Dealers – Module VI

• Auditor’s reports
• Report on compliance for Insurance, Segregation of Securities, and Guarantee/Guarantor relationships
• Introducing broker audits
• GAAS and audit risks for broker audits

4:30
Wrap Up & Review