Industry

Calendar of Events

Registrant Outreach offers a series of free educational seminars to registrants and other industry participants to help them understand their regulatory requirements.

Click on the seminars below to see more details, including a description of the seminar and the benefits of attending. Space is limited, so sign up early.

 

Past Seminars

Completing the 2020 Risk Assessment Questionnaire
Date: Webinar
June 23, 2020
 
Time: 2:00 p.m. - 4:00 p.m.
Description:

This webinar will assist registrants in completing the 2020 Risk Assessment Questionnaire (RAQ). We will highlight the key changes to the RAQ, including, for the first time, the pre-population of certain information previously provided by firms. We will answer frequently asked questions and walk participants through areas of the RAQ which may have been challenging for registrants in the past.

The RAQ is a useful tool in identifying high risk areas of a registrant’s business and assisting CRR staff in executing their risk-based approach to compliance field reviews.

Who should attend: Individuals who will be involved in the completion of the RAQ for their registrant firm.
Benefits: Understand the purpose of the RAQ, staff’s expectations for completing the RAQ and make the completion process more effective and efficient for your firm.
Material:
 

Compliance Requirements for Exempt Market Dealers and COVID-19 Regulatory Impacts on Registrants
Date: Webinar
June 10, 2020
 
Time: 2:00 p.m. - 4:00 p.m.
Description: 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: