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Understand the issues which might be one of a kind or commonplace into the portfolio supervisor registration category Acquire an recognition of OSC policy initiatives that have an effect on operations of advisers Hear about frequent deficiencies determined all through compliance critiques and linked best techniques Presentation products:

The seminar will go over the variations amongst increasing money in the public sector vs . the exempt market place. Within the exempt current market side, we will go over five cash boosting prospectus exemptions that were created or revised to handle the cash increasing requirements of little to medium sized enterprises at different stages of growth.

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Understand the purpose of the RAQ, workers’s expectations for finishing the RAQ and make the completion system more practical and productive for your company.

OSC employees are going to be at Central Library. The Shield Your hard earned money presentation should help community associates learn how to protect on their own from financial investment fraud, what concerns to inquire before they devote and how to make more knowledgeable fiscal choices.

Registered representatives, chief compliance officers and supreme selected persons of registrant companies.

Show up at the Defend your cash presentation to learn the pink flags of fraud, frequent forms of expense fraud, and the way to make much more informed financial decisions.

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This seminar will emphasize important plan initiatives and trends which can be outlined inside the Compliance and Registrant Regulation (CRR) Department’s annual summary report that will be released in the fall of 2015.

A roundtable to more examine the problems elevated in OSC Workers Consultation Paper 15-401, which proposed a new whistleblower application to persuade the reporting of serious misconduct of Ontario securities legislation on the OSC. This system could well be the very first of its kind for securities regulators top article in Canada.

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Show up at the OSC's investor presentation, Defend Your hard earned money to find out about fraud avoidance, selecting and dealing with an advisor and how to make a lot more educated investing selections.

OSC team is going to be speaking to LINC college students about preserving and investing, fraud prevention and in which to discover impartial information and facts.

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Registration is free and is particularly to start with come, first served. Please Notice that resulting from Area constraints, and attempts to be certain representation from across the legal Local community, Just one registrant for every agency are going to be invited to go to this session. We will affirm attendance via confirmation electronic mail by January 19, 2018.

OSC workers will likely be Talking to new Canadians about funds management and fraud prevention. More details

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Specialists will explore disruption within the funds markets and what it means for investors, regulation and economic growth.

Attend the OSC's investor presentation, Protect Your cash to study fraud avoidance, picking and dealing with an advisor and how to make additional educated investing decisions. More details

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