Contacts with Regulators (Recording)

Mar. 21, 2017
Online

CBA CANADIAN SECURITIES REGULATION SERIES 2017


Contacts with Regulators  



This module will include:

  • Contacts with Regulators
  • Investigations by Securities Regulators
  • Insider Trading
  • Secondary Market Liability


Take advantage of the series discount and sign up for all 6 programs! When you complete the full course you will know:

  • How to make an application to a securities regulator,
  • Which regulators are responsible for dealing with various kinds of typically encountered securities matters,
  • Who to contact and when,
  • The key distinction between statutory requirements, rules and policy and the importance of the "unwritten rules" of the regulatory environment.


And, on a very practical level, you will be more comfortable with various forms of disclosure documents.


Presenters:



                               

 

printPrint     Bookmark and Share

    FORMAT
    Recording

    COST

    CBA members: $125 
    Non-members: $250 
    Plus applicable taxes 

    MEMBER GROUP RATE
    $1,500 
    Plus applicable taxes

 

CONTACT INFO

pd@cba.org
613-237-2925; 1-800-267-8860

FAQ & Cancellation