Securities Training & EducationOur 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.
|May 6, 2020
COVID-19: Continuous Disclosure Obligations and Considerations for Issuers
|June 20, 2019
Working with elderly and vulnerable clients, engaging with compliance consultants, risk questionnaire, and issues from the field
|November 1, 2018
Outreach For Finders
|October 31, 2018
Outreach For Mortgage Investment Entities
|June 27, 2018
Learn about Proposed New Derivatives Registration & Business Conduct Rules
|April 10, 2018
Registrant Outreach Workshop - Executive Director priorities
|October 5, 2017
Consultation on the Option of Discontinuing Embedded Commissions
|May 11, 2017
Embedded Fee Proposals, and Change of Business Models
|November 29, 2016
Roundtable to Discuss Proposed Targeted Reforms to Enhance the Client-Registrant Relationship
|November 21, 2016
Registrant Outreach Workshop - Cyber Security