Amendments Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting & Updating Filing Deadlines
This seminar will provide an overview for both firm and individual registrants of recent amendments to registration information requirements.
The seminar will focus on:
- the outside activity reporting framework
- the requirements for outside activities that are positions of influence
- reporting deadlines
- filings by multiple affiliated registrants
The seminar will also highlight other changes made to clarify reporting requirements, as well as the information updates that will be required and the timing to report this information. Where possible, examples will be provided to illustrate the amendments.
Who should attend
The amendments are relevant to all registration categories, including members of IIROC and the MFDA.
Chief compliance officers, authorized firm representatives, ultimate designated persons, dealing representatives, permitted individuals, and individuals involved in the day-to-day registration and compliance functions and legal counsel of registered firms.
Why should you attend
- Gain an understanding of the outside activity reporting framework, as well as the requirements on positions of influence.
- Hear an overview of the changes to the reporting deadlines.
- Hear from OSC and IIROC staff on common errors made in reporting and how registration information requirements have been clarified to address those errors.
- Guidance provided by OSC and IIROC staff to assist registrants in their compliance with specific requirements.