PCMA Alberta Round Table Meeting on CSA 33-404

Mon, 2016-07-25 16:43 -- mcleod_admin
Tuesday, July 26, 2016

PCMA Alberta Round Table Meeting on CSA 33-404

Join PCMA Alberta - Calgary Chapter and participate as we continue to work on the PCMA comment letter to the CSA Consultation Paper 33-404. Provide your feedback, opinion and be a part of the change that will greatly affect the private capital markets industry!

 

Topic: CSA Consultation Paper 33-404 – Proposal to Enhance The Obligations of Advisers, Dealers, and Representatives Towards Their Clients – How will this impact the Exempt Market?

 

Discussion items: 
•    Conflicts of Interest & Relationship Disclosure
•    Know Your Client, Know Your Product & Suitability  
•    Proficiency, Titles & Designations
•    Role of UDP & CCO
•    Best Interest Standard

Speakers:

Brian Koscak 
Vice Chair, The Private Capital Markets Association of Canada
Co-Chair, The Private Capital Markets Advocacy Committee 
President and General Counsel, Pinnacle Wealth Brokers

 

David Gilkes 
Vice Chair, The Private Capital Markets Association of Canada 
Co-Chair, The Private Capital Markets Compliance Network 
President, North Star Compliance & Regulatory Solutions Inc.

 

Nadine Milne 
Co-Chair, The Private Capital Markets Compliance Network 
Chief Compliance Officer, Portland Investment Counsel Inc.

 

Registration starts at 3:30 pm MT.
Space is limited. Please register by July 25, 2016.