Registrant series - portfolio managers (Session B: In-Person)

May 22, 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 portfolio manager team will discuss key issues relating to advisers and the associated regulatory concerns. There will also be discussion of common adviser deficiencies noted during compliance reviews and ongoing OSC initiatives that impact advisers.

Who should attend:

Advising representatives and chief compliance officers and ultimate designated persons of portfolio manager firms.

Benefits:

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

 

Presentation materials:

 

Slides: Portfolio Managers

Event Image
portfolio managers