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.




Ongoing amendments to National Instrument 31-103

Session A: Webinar - February 4th (2pm - 4pm)
or
Session B: In-Person - Registration Full


Implementation of Client Relationship Model 2

Session A: Webinar - April 21st (2pm - 4pm)
or
Session B: In-Person - Registration Full


Elements of an effective compliance system

Session A: Webinar - June 23rd (2pm - 4pm)
or
Session B: In-Person - Registration Full







Date: Session A: Webinar
February 4, 2015
Session B: In-Person
February 5, 2015
Time: 2:00 p.m. - 4:00 p.m.

2:00 p.m. - 4:00 p.m.

Location for In-person Session: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON

Click here to register for the webinar Registration Full
Description: This seminar will provide an overview of the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) which were published October 16, 2014 and come into force on January 11, 2015. The amendments include substantive changes and also technical adjustments to codify certain exemption orders, clarify the legislative intent of NI 31-103 and provide further guidance as necessary where ambiguities existed.
Who should attend: Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.
Benefits:
  • Understand the amendments to NI 31-103
  • Enhance compliance with requirements under NI 31-103 and where impacted, NI 33-109 Registration Information

Back to calendar






Date: Session A: Webinar
April 21, 2015
Session B: In-Person
April 23, 2015
Time: 2:00 p.m. - 4:00 p.m. 2:00 p.m. - 4:00 p.m.
Location for In-person Session: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON



Click here to register for the webinar Registration Full
Description: As a follow up to the November 2013 session on CRM2, this seminar will discuss the upcoming July 2015 and 2016 implementation dates for the CRM2 requirements on performance reporting and cost disclosure requirements, recap key provisions already in force and discuss the regulatory expectations.
Who should attend: Registered representatives, chief compliance officers and ultimate designated persons of registrant firms.
Benefits:
  • Gain an awareness of the upcoming roll out period and what we expect will be happening during this time
  • Discuss how you and your firm may implement next stages of CRM2

Back to calendar






Date: Session A: Webinar
June 23, 2015
Session B: In-Person
June 25, 2015
Time: 2:00 p.m. - 4:00 p.m. 2:00 p.m. - 4:00 p.m.
Location for In-person Session: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON



Click here to register for the webinar Registration Full
Description: The seminar will focus on key aspects of the policies and procedures manual and ensuring they have been implemented effectively. Also, the seminar will discuss the role and responsibilities of the ultimate designated person and chief compliance officer, including the annual report to the Board, and also touch on emerging issues that compliance staff should consider when designing or enhancing their compliance systems.
Who should attend: Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.
Benefits:
  • Gain insight into expectations on the policies and procedures manual and the role of the compliance officer, including the requirement of the compliance officer to report to the Board
  • Hear about emerging issues that may require consideration from a compliance standpoint, and the associated regulatory expectations

Back to calendar