Registrant series – investment fund managers (Session B: In-Person)

Jun 26, 2014
02:00 pm  -  04:00 pm
OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
Event Details

Staff from the investment fund manager (IFM) team will discuss common deficiencies noted during IFM compliance reviews and/or recent sweeps and provide guidance in key areas. Updates on branch initiatives that impact IFMs will also be provided. The Investment Funds branch will provide an update on the status of ongoing policy initiatives affecting investment funds.

Who should attend:

Chief compliance officers and ultimate designated persons of IFMs

Benefits:

  • Understand the issues that are unique to IFMs
  • Gain an awareness of OSC initiatives that affect IFM operations
  • Hear about common deficiencies identified during compliance reviews and related best practices

 

Presentation materials:

 

Slides: Outreach Session for Investment Fund Managers

Event Image
investment funds