October 23, 2020 is the deadline to provide feedback on the self-regulatory organization (SRO) framework consultation paper.
Learn more about what the ASC is doing to support market participants and investors.
The ASC’s Outreach & Education Seminars designed for Alberta-based Exempt Market Dealers, Portfolio Managers, and Investment Fund Managers were held in Calgary on Tuesday, November 5, 2019 and in Edmonton on Thursday, November 7, 2019.
The slide decks from the ASC's 2019 Registrant Outreach and Education Seminars are now available here:
Engaging with older and vulnerable clients
Presented by Steve Quinn
Supervision and training of ARs and DRs
Presented by Salman Tajammul
Valuation - the real risk to mortgage fund investors
Presented by Brian Menges