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Registrant series: Portfolio managers

Date and Time:

September 14, 2017            

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 several key topics for portfolio managers (PMs) that were highlighted in our 2017 Annual Summary Report for Dealers, Advisers and IFMs (OSC Staff Notice 33-748). The topics that will be discussed are as follows:

  • Providing advisory services to “senior” clients,
  • Preliminary findings from our sweep review of PMs with a large percentage of “senior clients” and discussion of some best practices for dealing with “senior” clients,
  • Findings from compliance reviews of online advisers, and discussion of regulatory obligations and best practices for PMs with this business model, and
  • Findings from our reviews of “one-person” PM firms, along with guidance on compliance and regulatory obligations as highlighted in CSA Staff Notice 31-350.

It will also include an overview of the OSC Investor Office’s work on issues related to senior investors. 

Who should Attend:

Advising representatives, ultimate designated persons, chief compliance officers, and legal counsel of registrants.

Benefits:

  • Learn about challenges of servicing an increasingly ageing investor demographic.
  • Gain insight into what to include in policies and procedures for dealing with “senior” clients.
  • Learn what is expected of PMs who operate as online advisers.
  • Enhance understanding of compliance obligations for “one-person”  PM firms, including best practices for developing a business succession plan.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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