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Chief compliance officers and supreme selected folks of registrants that deal inside the exempt market. Folks involved with cash boosting, like working representatives at exempt industry dealer corporations.

OSC workers will likely be Talking at Indus Community Companies for their customers about how to shield themselves from expense fraud.

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OSC are going to be participating in a Economical Education and learning Forum to teach new Canadians about financial investment fraud, and what thoughts to ask prior to deciding to invest.

The seminar will give attention to key elements of the insurance policies and strategies handbook and making sure they are actually executed proficiently. Also, the seminar will discuss the part and obligations of the last word selected person and chief compliance officer, including the once-a-year report to your Board, and likewise touch on emerging challenges that compliance team must look at when developing or enhancing their compliance devices.

OSC workers will be speaking to the Barclays Ladies Club to assist them learn how to protect themselves from investment fraud and what thoughts to request before they devote.

For a stick to up on the November 2013 session on CRM2, this seminar will discuss the upcoming July 2015 and 2016 implementation dates for your CRM2 demands on effectiveness reporting and value disclosure prerequisites, recap important provisions now in drive and examine the regulatory expectations.

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To be aware of crucial learn the facts here now ongoing securities specifications so as to put together high-quality continual disclosure documentation

OSC employees will likely be Talking at a Seniors luncheon about financial commitment fraud security. Seniors will master to acknowledge the purple flags of fraud and likewise listen to about some typical sorts of fraud.

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Attend the OSC's Trader presentation, Safeguard Your hard earned money to find out about fraud prevention, deciding on and working with an advisor and how to make much more knowledgeable investing selections.

Registered Reps, Main compliance officers and supreme designated persons of registrant corporations.

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OSC employees is going to be Talking to the Barclays Ladies you could try these out Club to help you them find out how to shield by themselves from expenditure fraud and what thoughts to inquire before they make investments.

Go to the OSC's Trader presentation, Safeguard Your Money to learn about fraud prevention, choosing and dealing with an advisor and how to make extra informed investing selections.

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OSC team are going to be speaking to Probus Etobicoke Expense Club users about expense fraud prevention, shopper-advisor relationships and the place check this to search out impartial fiscal facts.

Attend the OSC's investor presentation, Defend Your cash to study fraud avoidance, deciding on and dealing with an advisor and how to make much more knowledgeable investing conclusions. More details

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