Education

ASC Registrant Outreach and Education Seminars – 2021

 September 2021 "Client Focused Reforms – Implementation and Best Practices" Agenda

ASC Registrant Outreach and Education Seminars – 2020

Presentation decks

• Relationship Disclosure Information
• Common Findings from Compliance Reviews: PM/IFM and EMD
• EMD Sales Practices

Seminar recordings

ASC Registrant Outreach and Education Seminars – 2019

• Engaging with older and vulnerable clients
• Supervision and training of ARs and DRs
• Valuation - the real risk to mortgage fund investors 

ASC Registrant Outreach and Education Seminars – Fall 2018

• Navigating an ASC Compliance Review
• Financial Compliance
• The Manual

ASC Registrant Outreach and Education Seminars – Spring 2018

• Performance Reporting Basics
• Know-Your-Product - Issues
• Cyber Security
• Cyber Security & Alberta Organizations

 ASC Registrant Outreach and Education Seminars – Fall 2017

• Marketing
• Conflicts of Interest
• PM and IFM Select Issues

ASC Registrant Outreach and Education Seminars – Spring 2017

• ASC Exempt Market Dealer Sweep
• EMD Compliance for CCOs
• Client Reporting

ASC Registrant Outreach and Education Seminars - 2014

• CRM2 - 2014 Requirements
• Late Filings
• CSA Staff Notice 31-336
• CSA Staff Notice 31-338

 ASC Registrant Outreach and Education Seminars – 2013

• Product Due Diligence in the Exempt Market
• Relationship Disclosure Information
• Preparing for an ASC Compliance Review
• CRM2 - Cost and Performance Reporting Requirements