The Ontario Securities Commission is adding four new sessions to its Registrant Outreach program, which helps advisors strengthen their compliance practices.
The new seminar topics include an overview of the registration process and targeted seminars for exempt market dealers, portfolio managers and investment fund managers, respectively, on relevant compliance issues. Additional seminar topics will be added to the seminar calendar at a later date.
Read: Confused about derivatives reporting? Attend OSC’s seminar
In 2013, over 1,000 individuals attended the Registrant Outreach sessions, either in-person or via webinar. The program continues to provide Ontario registrants with practical knowledge on compliance-related matters and gives them the opportunity to hear first-hand from OSC Staff on the latest issues impacting them.
To see a calendar of events, click here.
To keep up to date on compliance related matters, join the OSC’s Registrant Outreach community here.