David Surat speaking at the Strategy Institute Registrant Regulation, Conduct and Compliance Conference
May
04, 2018
09:30 am
Sheraton Centre Toronto, ON
Event Details
Breakout B: Exempt Market Dealers
The exempt market continues to evolve, creating many challenges associated with compliance. Take advantage of this hands-on session to ready your organization for the future. Adopt best practices on:
- Solving compliance deficiencies
- Restricted market dealersNew limits on EMDS
- Best practices
- Dispute resolution
- Prospectus exemptions
- Suitability for clients
- Proper documentation
- Know your client
- Related party products
- Best interest standard
- Create a plan to tackle your most pressing challenges.
- Brian Koscak, President, Chief Compliance Officer & General Counsel, Pinnacle Wealth Brokers Inc.
- David Surat, Corporate Finance, Senior Legal Counsel, Ontario Securities Commission
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