Adviser Forums

The material below is from the Adviser Forums held by the CMR Examinations Branch.

June 2008 Adviser Forum

• Adviser Forum Agenda 
• Update on Proposed NI 31-103 Registration Requirements  Presentation Slides
• 2008 June Adviser Forum Report  Presentation Slides
• 2008 Adviser Annual Report 
• Compliance Deficiency Chart 
• FINTRAC Information for Securities Dealers 

June 2007 Adviser Forum

• Adviser Forum Agenda 
• CSA's Passport 2 System Update - Insider Trading and Front Running - Presentation Slides 
• How To Survive Your Compliance Exam - Presentation Slides
• Designing Your Compliance Program - Presentation Slides
• 2007 Adviser Annual Report 
• Discussion Matrix for Open Forum 
• June 2007 Adviser Forum Minutes