Resources

Securities Training & Education

Our goal is to develop and deliver relevant, engaging and timely information to help market participants understand and comply with their regulatory requirements more effectively and efficiently. It is also important for us to receive feedback and comments from market participants about proposed changes to securities rules.

Throughout the year, we provide opportunities for market participants to attend workshops and round tables in person or online to learn about changes to regulations as well as discuss and comment on proposed changes.

For older industry education events, go to the Events page.

Industry Events

Business woman signing a book May 6, 2020

COVID-19: Continuous Disclosure Obligations and Considerations for Issuers 
Edlerly couple looking at a computer with another woman June 20, 2019

Working with elderly and vulnerable clients, engaging with compliance consultants, risk questionnaire, and issues from the field  
A small model of a house on top of papers with a pencil and calculator next to it
 November 1, 2018

Outreach For Finders
5 rows of stacked coins October 31, 2018

Outreach For Mortgage Investment Entities
Image listed with labeled rows of Options Swaps and Forwards
June 27, 2018

Learn about Proposed New Derivatives Registration & Business Conduct Rules
River running along a city landscape with tall buildings April 10, 2018

Registrant Outreach Workshop - Executive Director priorities
Gears labeled Old Way and New Way
 October 5, 2017

Consultation on the Option of Discontinuing Embedded Commissions
Business woman looking through binoculars May 11, 2017

Embedded Fee Proposals, and Change of Business Models
Man walking down a sidewalk with a cloud covering his head
 November 29, 2016

Roundtable to Discuss Proposed Targeted Reforms to Enhance the Client-Registrant Relationship
Blue padlock November 21, 2016

Registrant Outreach Workshop - Cyber Security