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Registrant Series: Exempt Market Dealers

Seminar Date and Time:

Session A: Webinar                  Session B: In-person        

November 21, 2017                    November 23, 2017                                  

2:00 p.m. – 4:00 p.m.                 2:00 p.m. – 4:00 p.m.

 

Location for In-person Session:

22nd Floor Training Room

Ontario Securities Commission

20 Queen Street West

Toronto, ON

Description:

This seminar will focus on key topics for exempt market dealers (EMDs) The topics that will be discussed include:

  • Recent EMD amendments to NI 31-103 and 31-103CP that come into force December 4, 2017.
  • Guidance related to the use of expanded exempt market prospectus exemptions, including the new family, friends and business associates exemption and offering memorandum exemption.
  • Findings from compliance reviews of EMDs and dealer related topics from our 2017 Annual Summary Report for Dealers, Advisers and IFMs (OSC Staff Notice 33-748).

Who should Attend:

Dealing representatives, ultimate designated persons, chief compliance officers, and legal counsel of EMDs.

Benefits:

  • Enhance understanding of recent EMD amendments and use of expanded exempt market prospectus exemptions.
  • Gain awareness of key deficiencies identified during compliance reviews as well as EMD issues and projects that the Compliance and Registrant Regulation branch focused on during the year.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

REGISTER