ASC Registrant Outreach and Education Seminar – December 2020
ASC Registrant Outreach and Education Seminar – December 2020
Virtual
12/8/2020 9:00:00 AM
Thank you to all who were able to attend the ASC's virtual outreach and education seminar on December 8, 2020. This seminar was designed for Alberta-based exempt market dealers, portfolio managers and investment fund managers.
Presentation decks
Relationship Disclosure Information
Presented by Salman Tajammul
Common Findings from Compliance Reviews: PM/IFM and EMD
Presented by Jennie Chen and Justin Godziuk
EMD Sales Practices
Presented by Adam Hillier and Matias Pendola
Seminar recordings