Registrant Outreach: Compliance Requirements for Exempt Market Dealers and COVID-19 Regulatory Impacts on Registrants (Webinar)

The first portion of the seminar will focus on the regulatory efforts relating to COVID-19 and the potential issues registrants should consider. The remainder of the seminar will provide an overview of key compliance requirements for exempt market dealers (EMDs). The seminar will focus on certain ongoing registrant obligations in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. The seminar will discuss the roles and responsibilities of the ultimate designated person and chief compliance officer. Other areas that will be discussed include know your client and suitability, know your product, prospectus exemptions, marketing and conflicts of interest.

Who should attend:

Ultimate designated persons, chief compliance officers, dealing representatives, individuals involved in the day-to-day compliance functions of registered firms and compliance professionals such as legal counsel and compliance consultants.

Benefits:

• Information to help EMDs comply with their legal requirements.
• Gain insight into the roles of the chief compliance officer and the ultimate designated person.
• Enhanced understanding of the requirements on EMDs with respect to key compliance elements of the firm’s operations.
• Hear tips from OSC staff on how to avoid common deficiencies found during EMD firm compliance reviews.

Material:

• Slides
• Webinar