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

OSC Registrant Outreach Seminar Past Event

14 juin 2017

14h00 - 16h00

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