Review IIROCs website and select disciplinary case that relate to and exemplify IIROCs UMIR rules (or Trading Conduct) within the last 5 years (Jan 1, 2015 onwards) that relates to Market Conduct.

You are required to submit the following:

Summary (1-2 pages): Write a summary of disciplinary case. Read the article several times, jot down key facts and then write your summary.

Market Conduct Analysis (1-2 pages): Analyze and demonstrate how the case selected relates to and exemplifies the IIROCs UMIR rules (or Trading Conduct rules) You may use examples and other outside sources to support your analysis.

Compliance Bulletin: Prepare and submit a Compliance Bulletin that will be sent to all Investment Advisors at your firm relating to the case you have used. Keep in mind that this section is not the same as. The purpose of the bulletin is intended to be educational in nature, summarizing key details from the IIROC notices that you feel would be appropriate to the sales force.