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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada.

Events & Presentations

Copies of presentations may be available upon request.

Start Time
Title
5/24/2017, 5/31/2017ASC 2017 Registrant Outreach and Education Seminars
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
3/13/2014Checkfirst.ca 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