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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

ASC Registrant Outreach and Education Seminars (May 2017)

Registration for this event is now closed.

The ASC’s Outreach & Education Seminars designed for Alberta-based Exempt Market Dealers, Portfolio Managers and Investment Fund Managers were held in May 2017

 

  • Calgary (in-person): Wednesday, May 24, 2017, 7:30 a.m. to 11:45 a.m. MT, Westin Hotel (320 - 4th Avenue SW), Britannia/Belaire Room
  • Edmonton (in-person): Wednesday, May 31, 2017, 7:30 a.m. to 11:45 a.m. MT, Westin Hotel (10135-100 Street), Devonian Room
  •  

    The audio recording and PDF slide decks for each session are now available (see below).

    • Exempt Market Dealer’s (EMD) Focused Reviews Results: PDF, Audio
    • Exempt Market Dealer’s (EMD) Compliance for CCOs: PDF, Audio (coming soon)
    • Client Relationship Model (CRM2) Reporting: PDF, Audio
    ​​​

    ​If you have any questions, please contact events.asc.ca