On May 14 and 15, 2007, representatives from the Canadian Securities Administrators (CSA) will hold free information sessions for industry participants and members of the media to discuss proposed National Instrument 31-103 Registration Requirements (the Rule).
The Rule introduces a harmonized, streamlined and modernized registration regime across Canada. It will create a flexible registration regime leading to administrative efficiencies and reduced regulatory burden for registrants.
Throughout the development of the Rule, the CSA have consulted with industry participants. This event will ensure a better understanding of the new registration requirements and encourage feedback during the comment period which ends June 20, 2007.
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Randee Pavalow, Director, Capital Markets, Ontario Securities Commission
Marsha Gerhart, Assistant Manager, Legal, Registrant Regulation, Capital Markets, Ontario Securities Commission
David Gilkes, Manager, Registrant Regulation, Capital Markets, Ontario Securities Commission
Sean Fluker, Legal Counsel, Market Regulation, Alberta Securities Commission
Sandy Jakab, Manager, Policy, British Columbia Securities Commission
Sophie Jean, Regulatory Adviser, Autorité des marchés financiers
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| When: |
Monday, May 14 and Tuesday, May 15, 2007
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| Where: |
Delta Chelsea Hotel
Wren Room
33 Gerrard Street West
Toronto, Ontario
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Agenda:
May 14, 2007
8:30 a.m. - 9:00 a.m.
9:00 a.m. - 12:00 p.m.
1:30 p.m. - 4:30 p.m.
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Continental breakfast
Session 1 – Impact on portfolio managers and advisers
Session 2 – Registration of fund managers
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May 15, 2007
8:30 a.m. – 9:00 a.m.
9:00 a.m. – 12:00 p.m.
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Continental breakfast
Session 3 – Impact on dealers
- Investment dealers
- Mutual fund dealers
- Limited market dealers (exempt market dealers)
- Scholarship plan dealers
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Seating is limited at these sessions so please register by email to registration@osc.gov.on.ca. Please indicate the session(s) you plan to attend and the number of people attending. Please respond by May 10, 2007.
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