ASC Registrant Outreach and Education Seminars – 2026
Presentation deck
- Client Focused Reforms
Topics covered: Conflicts of interest; Know your client (KYC); Know your product (KYP); Suitability; Documentation and operational approaches; The use of artificial intelligence in meeting client-focused reform requirements.
- 2026 Cybersecurity Sweep Reviews
Topics covered: Cybersecurity policies and procedures; Cybersecurity training; Cybersecurity risk assessments and controls; Oversight of third-party service providers; Cybersecurity incident response planning; Effective cybersecurity practices.
ASC Registrant Outreach and Education Seminars – 2025
Presentation deck
- 2025 Registrant Outreach and Education Seminar
Topics covered: A summary of the client-focused reform (CFR) sweep of Alberta firms: Know your client (KYC); Know your product (KYP); Suitability. An overview of the latest ASC compliance examination findings.
ASC Registrant Outreach and Education Seminars – 2024
Presentation deck
- 2024 Registrant Outreach and Education Seminar
Topics covered: Relevant investment management experience for Advising Representatives; Guidance on Client Relationship Manager Advising Representatives; Business continuity and succession planning; An overview of recent findings; Blanket Order 45-539 –Raising capital for small business in Alberta.
ASC Registrant Outreach and Education Seminars – 2023
Presentation deck
Seminar recordings
ASC Registrant Outreach and Education Seminars – 2022
Presentation deck
Seminar recording
ASC Registrant Outreach and Education Seminars – 2021
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
If you have any questions about these seminars or would like to register to attend, please email [email protected]. In your email request please include your full name, company name and a job title.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