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Gains: Boost idea of modern EMD amendments and use of expanded exempt sector prospectus exemptions.

The seminar will go over the variations between raising dollars in the public sector versus the exempt current market. On the exempt market aspect, we will go over five cash boosting prospectus exemptions which were designed or revised to handle the cash increasing desires of modest to medium sized enterprises at different levels of development.

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Compliance staff or individuals who critique advertising and marketing materials or other client interaction files.

The seminar will center on important aspects of the procedures and processes guide and guaranteeing they happen to be carried out proficiently. Also, the seminar will talk about the function and responsibilities of the final word selected individual and chief compliance officer, including the once-a-year report to your Board, in addition to contact on rising problems that compliance workers ought to take into account when developing or boosting their compliance methods.

Subject matter 2: Discontinuing, or applying further requirements for using the deferred gross sales charge invest in option (Audio)

OSC staff members are going to be speaking on the Downtown Group Centre. The Protect Your Money presentation should help Local community associates learn how to guard on their own from investment fraud, how to operate having an advisor and how to make additional knowledgeable financial choices.

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Show up at the OSC's investor presentation, Protect Your More Bonuses cash to study fraud avoidance, dealing with an advisor and how to make extra knowledgeable money conclusions.

Attain an awareness in the upcoming roll out period and what we expect are going to be going on for the duration of this time Talk about how both you and your business may possibly apply up coming stages of CRM2

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OSC team will probably be speaking to associates of your Probus Mountainview Club to aid them know where by to discover impartial financial data, what inquiries to talk to before they commit along with the warning signs of fraud.

The seminar will concentration on how to talk to purchasers in the compliant way. Critical client communications protected will consist of: advertising and marketing, client agreements, know your consumer documentation, marriage disclosure details and client account statements.

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OSC staff will likely be Chatting with the Barclays Women Club to help them learn how to shield them selves from investment fraud and what inquiries to inquire just before they invest.

Acquire an consciousness on the future roll out period of time and what we count on are going to be happening all through this time Talk about how you and your business may possibly put her latest blog into action upcoming stages of CRM2

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Assistance related to using expanded exempt current market prospectus exemptions, such as the new relatives, mates and enterprise associates exemption and supplying memorandum exemption.

A connection to an archived replay of your webinar are going to be out there listed here once the conclusion on the session.

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