ASC Registrant Outreach and Education Seminars (November 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 November 2017
- Edmonton (in-person): Thursday, November 2, 2017, 1:00 p.m. to 4:00 p.m. MT, Westin Hotel (10135-100 Street), British Columbia/Alberta Room
- Calgary (in-person): Wednesday, November 8, 2017, 8:30 a.m. to 11:30 a.m. MT, Eau Claire Tower (600 3 Ave SW), Athabasca/Christina Room
The audio recording and PDF slide decks for each session are now available (see 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
If you have any questions, please contact events.asc.ca