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(NI 55-104). OSC team will also supply a wander through on how to submit insider filings electronically on SEDI (Procedure for Digital Disclosure by Insiders) and talk about typical filing problems and supply ideas regarding how to keep away from them.

A multi-faceted initiative, OSC personnel are travelling to communities across Ontario to the two produce investor seminars on fraud avoidance though also Conference with local organization, government officials, law enforcement together with other Local community companies which can be impacted through the province's securities regulation.

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Study problems of servicing an progressively ageing investor demographic Obtain Perception into what to incorporate in policies and techniques for coping with “senior” clients

The seminar will focus on essential facets of the insurance policies and methods guide and ensuring they are actually applied successfully. Also, the seminar will discuss the job and obligations of the ultimate specified human being and Main compliance officer, including the annual report for the Board, and likewise contact on rising challenges that compliance staff members need to look at when coming up with or improving their compliance systems.

Have an understanding of The brand new CSA mandated necessity to hitch OBSI and understand that Firm Get an consciousness of anticipations on customer communications relating to complaints Presentation resources:

Being a abide by up to the November 2013 session on CRM2, this seminar will examine the future July 2015 and 2016 implementation dates to the CRM2 requirements on performance reporting and cost disclosure demands, recap essential provisions presently in drive and explore the regulatory anticipations.

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OSC team might Click Here be speaking to members of the Ajax Friendship Club about investment decision fraud prevention and how to make extra informed money selections.

OSC staff members will be Chatting with associates on the Probus Club of Belleville. The Defend Your Money presentation might help members learn the way to acknowledge frauds and cons, what to do when you suspect a rip-off and where by to find impartial facts.

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Who should really attend: Registered Associates, chief compliance officers and ultimate selected persons of registrant companies that happen to be reporting entities.

People chargeable for the criticism managing approach and those that will liaise with OBSI in the event of an suitable grievance.

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The OSC is pleased to present every day of panel discussions focused on funds marketplace troubles and trends in Canada and how they relate to the worldwide financial and regulatory environment.

Chief compliance officers and ultimate designated people of registrants. Persons involved in the working day-to-working day compliance capabilities at registrant corporations who converse registration specifications to registered people.

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Roundtable to debate the findings of your OSC's 3rd yearly review of disclosures created beneath Countrywide Instrument 58-one zero one Disclosure of Corporate Governance Tactics concerning Gals on boards As well as in govt officer positions, which can be released in the approaching months.

The seminar will examine securities regulatory issues for tiny and medium-sized organizations trying to increase capital from the private and non-private marketplaces.

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