ASC Outreach and Education Seminar for Registrants
ASC Registrant Outreach and Education Seminars - Nov 2017
Calgary and Edmonton
11/2/2017 3:00 AM
The ASC’s 2017 Registrant Outreach & Education Seminars designed for Alberta-based Exempt Market Dealers, Portfolio Managers and Investment Fund Managers were held in Edmonton on Thursday, November 2, 2017 and in Calgary on Wednesday, November 8, 2017.
The audio presentations and PDF slide decks for each session are available below:
- Marketing: discussing marketing requirements, an overview of deficiencies discovered by the ASC and a list of best practices: PDF, Audio
- Conflicts of Interest: what is a conflict of interest and how to repond to it? A breakdown of specific conflicts of interest, including some examples and guidance: PDF, Audio
- PM and IFM Select Issues: an overview of issues identified by the ASC regarding PMs and IFMs disclosure, relevant guidance and best practices (NI 31-103 focused): PDF, Audio