David Surat speaking at the Strategy Institute Registrant Regulation, Conduct and Compliance Conference

Speech Past Event
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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