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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 (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