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Chief Financial Officers Seminar  Print this page

Icon SeminarThe Chief Financial Officers Seminar provides high-level instruction of knowledge required to meet the key responsibilities for Chief Financial Officers (CFO) of member firms. Led and conducted by Joni Alexander, this two-day seminar is fast paced, challenging and intensive.

The seminar helps participants:

  • Prepare for the Chief Financial Officers Qualifying Exam (the Investment Dealers Association's new regulatory requirement for newly registered CFOs)
  • Understand the background of financial regulatory requirements in the securities industry
  • Refresh and enhance their knowledge of the current rules and regulations that apply to the financial and capital reporting of securities dealers

Topics covered during the seminar include:

  • The capital formula
  • Firm inventory
  • Underwriting capital rules
  • Customer accounts
  • CIPF minimum standards
  • Introducing and carrying arrangements
  • Financing
  • Insurance
  • Segregation
  • Securities concentration

The CFO Seminar is recommended for CFOs preparing for the CFO Qualifying Exam, aspiring CFOs and professionals who provide services to CFOs or other financial staff at securities dealers. It will be held in Toronto several times between October 2004 and June 2005. Sessions involve lectures, work sessions and practice exercises.

Seminar Materials

Please note seminar materials will be provided in class.
Breakfast and lunch will be served during the seminar.

Joni Alexander

Joni Alexander is a Chartered Accountant and a well-known expert in the Canadian securities industry who currently consults to clients that include broker-dealers, securities exchanges and other professional and regulatory organizations. Prior to establishing her own consulting practice, Joni held several senior positions in the industry including Vice President, Compliance and Internal Audit at Gordon Capital Corporation; member of the Board of Governors of the Toronto Stock Exchange; member of the Board of Directors of Canadian Derivatives Clearing Corporation and Director, Capital and Margin Policy at The Toronto Stock Exchange. Joni has extensive experience teaching accounting, auditing, management science and economics at York University's Atkinson College, The University of Saskatchewan and Pennsylvania State University.