Effective Oversight of Service Providers and Modernization of Investment Fund Product Regulation- Alternative Funds (Session B: In-Person)

OSC Registrant Outreach Seminar Past Event
Jun 14, 2017
02:00 pm  -  04:00 pm
22nd Floor Training Room Ontario Securities Commission 20 Queen Street West Toronto, ON

Description:

  • how registrants, with a focus on investment fund managers, can effectively oversee third party service providers retained to provide fund accounting, trust accounting, recordkeeping, compliance consulting, portfolio management and other services;
  • the CSA’s proposed amendments to NI 81-102 and NI 81-101 with respect to alternative funds.

Who should attend:

Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.

Benefits:

  • Gain insight into how a registrant can effectively oversee its service providers in order to meet its obligation of being responsible and accountable for the work performed by service providers.
  • Enhance understanding of the CSA’s proposed amendments to revise regulation for alternative funds.

Documents

osc webinar