McLeod Law

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300, 14505 Bannister Road SE
Calgary, AB T2X 3J3

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Centennial Place, West Tower
Suite 2110, 250 – 5th Street SW
Calgary, AB T2P 0R4

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PCMA Alberta Round Table Meeting on CSA 33-404

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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.

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