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Registrant Series: Exempt Market Dealers

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


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.


  • 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.