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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).

Events & Presentations

Copies of presentations may be available upon request.

Start Time
02/05/2019Corporate Finance Information Sessions – February 2019
11/6/2018 11/8/2018ASC Registrant Outreach and Education Seminars – November 2018
10/09/2018ASC Connect 2018
06/27/2018 Proposed New Derivatives Registration & Business Conduct Rules Webinar
5/29/2018, 5/31/2018ASC Registrant Outreach and Education Seminars- May 2018
01/24/2018ASC Corporate Finance Disclosure and Oil & Gas Information Sessions
11/02/2017, 11/08/2017ASC Registrant Outreach and Education Seminars - Nov 2017
10/23/2017, 10/24/2017ASC Open Sessions on the option of discontinuing embedded commissions
10/19/2017 ASC Connect 2017
5/24/2017, 5/31/2017ASC Registrant Outreach and Education Seminars - May 2017
1/25/2017Oil and Gas Information Session
1/11/2017Corporate Finance Disclosure Information Sessions
12/9/2016ASC Open Session on targeted reforms to enhance the client-registrant relationship
8/30/2016Narrated Overview of CSA Consultation Paper 33-404
2/24/2016 Derivatives Trade Reporting Rules Webinar
2/8/2016Update on Amendments to the Offering Memorandum Exemption & New SEDAR Filing Requirements
2/4/2016ASC Oil & Gas Review Information session
2/26/2015Canadian Securities Regulators’ Proposed New Derivatives Rules Webinar
1/28/2015Remarks by Bill Rice - Capital Markets Regulatory Priorities – Canada’s National System
1/20/20152014 Oil & Gas Information Session
10/30/2014Remarks by Bill Rice - 10th Edition Western Canadian Securities Forum
6/23/2014, 6/25/2014ASC 2014 Registrant Regulatory Update
3/13/ free lunch awareness event
1/15/2014ASC 2014 Corporate Finance Review
12/3/2013Keynote Address by Bill Rice - IIROC – CLS Compliance Conference 2013
11/27/2013, 12/02/2013ASC Outreach and Education Seminar for Registrants
11/6/20132013 Oil & Gas Information Session
6/17/2013Opening Remarks for World Alternative Investment Summit Canada
1/16/2013Derivatives Roundtable
1/11/2013ASC 2013 Corporate Finance Review Session - Webinar
12/11/20122012 Oil & Gas Review Sessions
4/12/2012Alberta Securities Commission Primer - presented by Don Young, Chief Litigation Counsel
1/12/2012ASC 2012 Corporate Finance Review Sessions
12/7/20112011 Oil & Gas Compliance Review Information Sessions
1/14/2011IFRS/2010 Corporate Finance Disclosure Report Information Sessions
12/7/2010ASC Annual Oil and Gas Review information sessions
10/26/2010Capital Ideas 2010
7/6/2010ASC Transition to IFRS information sessions
6/30/2010ASC Webinar: NI 31-103 Registration Requirements and Exemptions
4/6/2010National Securities Regulator Debate - Introductory Speaking Notes for Bill Rice
2/11/2010ASC Webinar: Disclosure Review
1/19/20102010 Breakfast Seminar: Disclosure Review
12/9/2009Breakfast Seminar: Oil and Gas Compliance
11/16/2009Federated Press 2nd Board Risk Management Course - Address by Bill Rice
11/16/2009CICA’s IFRS Conference for the Junior Oil and Gas Industry - Address by Bill Rice
11/4/2009Is There a Place for Facts and Reason in the Debate Over Effective Securities Regulation in Canada? Address by Bill Rice
5/5/2009Regulatory Perspectives on IFRS Conversion
4/16/2009National Securities Regulator Debate - Notes for Address to Fraser Institute Founders Circle Dinner by Bill Rice
3/27/2009Comments for Toronto Certified Financial Analyst Society by Bill Rice
3/24/2009Overview and Review from the ASC at the 10th Annual Canadian Accounting and Regulatory Summit
3/19/2009National Securities Regulator Debate - Address to the Rotary Club by Bill Rice
3/11/2009Results of the ASC Continuous Disclosure Review Program. Sponsored by Securities Division of the Alberta Law Society
3/4/2009ASC Breakfast Seminar: Corporate Governance
2/6/2009Comments on the concept of a Canadian national securities regulator and the recommendations of the federally sponsored Hockin Panel - Bill Rice
1/7/2009ASC Breakfast Seminar: Oil & Gas Compliance
12/4/2008ASC Breakfast Seminar: MD&A Tune-up
11/13/2008ASC Breakfast Seminar: NI 52-109 & Executive Compensation
4/22/2008NI 31-103 Registration Requirements: Information Sessions. From April 22-24, 2008, in Calgary and Edmonton.
3/4/2008ASC Information Seminar: Passport and Prospectus
3/3/2008CICA Conference on Financial Reporting & Governance for Small and Mid-Cap Companies Opening Address by Bill Rice
2/27/2008ASC Information Seminar: NI 41-101 General Prospectus Requirements
1/15/2008Canadian Securities Regulation: An Alberta Perspective in the National Regulator Debate. An Address by Bill Rice
11/16/2007Day with the ASC Luncheon Presentation: Passport and its impact on Alberta issuers by Bill Rice
11/16/2007Day with the ASC 2007: Complete PowerPoint Presentation
9/27/2007Summary of CSA Harmonization Efforts - What Has Been Done and What Remains to Be Done. An Address by Bill Rice
6/27/2007Address by Bill Rice, Chair, Alberta Securities Commission to CFA Institute Wealth Management Conference 2007
5/29/2007Address by Bill Rice, Chair, Alberta Securities Commission to Conference on General Counsel’s Role in Maximizing Board Effectiveness
5/2/2007ASC Perspective On Securities Regulation - notes for an address by Bill Rice to the Alberta District Council, Investment Dealers Association of Canada Annual General Meeting
4/19/2007Securities Regulation for the Oil and Gas Industry - an address by Bill Rice for Schlumberger Information Solutions
2/13/2007Update from the ASC for the Institute of Internal Auditors – Edmonton Chapter
11/2/2006Investor Protection: The ASC as Policeman and Teacher
9/26/2006David Elliott presents at the Annual Technical Conference and Exhibition sponsored by the Society of Petroleum Engineers