Registrant Series: Exempt Market Dealers (Session A: Webinar)

This seminar will focus on key topics for exempt market dealers (EMDs)
The topics that will be discussed include:

• Recent EMD amendments to NI 31-103 and 31-103CP that come into force December 4, 2017.
• Guidance related to the use of expanded exempt market prospectus exemptions, including the new family, friends and business associates exemption and offering memorandum exemption.
• Findings from compliance reviews of EMDs and dealer related topics from our 2017 Annual Summary Report for Dealers, Advisers and IFMs (OSC Staff Notice 33-748).

Who should Attend:

Dealing representatives, ultimate designated persons, chief compliance officers, and legal counsel of EMDs.

Benefits:

• Enhance understanding of recent EMD amendments and use of expanded exempt market prospectus exemptions.
• Gain awareness of key deficiencies identified during compliance reviews as well as EMD issues and projects that the Compliance and Registrant Regulation branch focused on during the year.

Documents

• Webinar: Exempt Market Dealers
• Slides: Exempt Market Dealers