Registrant series – exempt market dealers (Session A: Webinar)

Staff from the exempt market dealer (EMD) team will discuss key issues relating to EMD operations and the associated regulatory concerns. There will also be discussion of common EMD deficiencies noted during compliance reviews and ongoing OSC initiatives that impact EMDs.

Who should attend:

Dealing representatives and chief compliance officers and ultimate designated persons of EMD firms.

Benefits:

• Understand the issues that are unique or prevalent to the EMD registration category
• Gain an awareness of OSC policy initiatives that affect operations of EMDs
• Hear about common deficiencies identified during EMD compliance reviews and related best practices

Presentation materials:

Slides: Exempt market dealers