Education
ASC Registrant Outreach and Education Seminars – 2022
Presentation deck
Seminar recording
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