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Gains: Boost comprehension of the latest EMD amendments and use of expanded exempt marketplace prospectus exemptions.

This seminar will emphasize vital policy initiatives and trends which can be outlined inside the Compliance and Registrant Regulation (CRR) Branch’s annual summary report which will be revealed in the autumn of 2015.



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Achieve insight into anticipations on the insurance policies and strategies manual and the purpose of the compliance officer, including the necessity in the compliance officer to report into the Board Hear about emerging concerns that could have to have thought from the compliance standpoint, as well as involved regulatory expectations Presentation Substance

which arrived into force on June 30, 2016. On the public facet, We're going to examine the requirements for if you turn into a community corporation, the roles of your functions associated with the offering system, and the continued requirements following your IPO.

OSC staff members will be Chatting with Unifor Community 1451 retirees about fraud prevention. The Shield Your Money presenters might help retirees find out to recognize the red flags of fraud and in addition listen to about some prevalent kinds of fraud.

OSC staff members might be Talking on the Downtown Group Centre. The Defend Your Money presentation will help Local community members learn how to guard themselves from expenditure fraud, how to work with an advisor and how to make far more knowledgeable fiscal conclusions.



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OSC workers will likely be in the Active Living Reasonable to deliver the Guard Your hard earned money presentation. Attend the seminar to learn how to spot the pink flags of expenditure fraud, popular forms of fraud and what issues to request prior to deciding to invest.

This seminar will assessment frequent administrative and procedural submitting troubles and faults produced by reporting issuers. OSC workers will go over how to avoid particular frequent glitches during the context of prospectus, software, steady disclosure and exempt market filings. Who must go to:



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OSC staff members is going to be Talking at a Seniors luncheon about investment fraud security. Seniors will master to acknowledge the purple flags of fraud and likewise hear about some typical kinds of fraud.

The seminar will emphasis on how to communicate with clients in the compliant fashion. Essential consumer communications coated will contain: internet marketing, consumer agreements, know your customer documentation, relationship disclosure information and customer account statements.



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OSC staff will likely be you can check here Talking to associates of Bell Pensioners Team about financial investment fraud avoidance and concerns to ask before you decide to spend.

OSC team will likely be Talking to members of Bell Pensioners Group about investment decision fraud prevention and inquiries to request before you spend.



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Representatives from your Ombudsman for Banking Companies my site and Investments (OBSI) will describe the Group, the problems managing course of action and various appropriate information and facts that sellers and advisers really should pay attention to as new users of OBSI.

We welcome members of the legal Local community to return in, Have got a coffee, and chat about developments that will have an affect on their tactics, such as the Canadian Securities Administrators’ Regulatory Sandbox and workers see on cryptocurrency offerings.

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