Skip Ribbon Commands
Skip to main content
Navigate Up
Sign In
Check registration (?)

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).

Event or Presentation:ASC Registrant Outreach and Education Seminars – November 2018
Location:Calgary & Edmonton

The ASC’s Outreach and Education Seminars designed for Alberta-based Exempt Market Dealers, Portfolio Managers and Investment Fund Managers were held in Calgary on Tuesday, November 6, 2018 and in Edmonton on Thursday, November 8, 2018.

The slide decks from the ASC's 2018 Registrant Outreach and Education Seminars are now available here:

Navigating an ASC Compliance Review
Presented by Steve Quinn and Jennie Chen

Financial Compliance
Presented by Ashley Lee

The Manual
Presented by Kathy Ferguson

Date and Time:11/6/2018 8:30 AM