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: