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Continuing Education → Compliance / Business Conduct → CCO Edition

CCO Ed: NI 33-109 Amendments (LCICCO2201)


Description
Amendments to NI 33-109 Registration Information came into force June 6th, 2022. The OSC provided an Implementation Guide... So we made it into a course!

[Note - this course was developed independently from the regulators with the intention to support the securities compliance community. Visit your local securities regulator for source information on the amendments to 33-109]

CE Credits: 1 MFDA CE Activity Cod...: - FSRA: 1.0 Financial Services Regulatory Author... ICBC: 1.0 Insurance Council of British Columbi... ICS: 1.0 Insurance Councils of Saskatchewan: ... ICM: 1.0 Insurance Council of Manitoba: Life ... CFP / QAFP: 1.0 FP Canada: Practice Management CIM / PFP: 1.0 CIM/PFP Compliance CFA: 1.0 CFA: Standards, Ethics, Regulations CPA: 1.0 CPA: Verifiable Ethics CPD Advocis: 1.0 Advocis: Structured Learning Law Society of ON: 1.0 Law Society of Ontario Substantive H...

Content
  • Video
  • 1. Introduction (2:14)
  • 2. Background (1:56)
  • 3. Highlights (15:01)
  • 4. Deadlines (1:14)
  • 5. Annex C - FAQ (22:36)
  • Audio
  • (audio) Implementation Guide to Amendments to NI 33-109
  • (audio) Annex C - Frequently Asked Questions
  • Regulatory Source Documents and Resources
  • (PDF) CSA Implementation Guide to Amendments to NI 33-109 2022.05.24
  • (PDF) CSA Registration Information Amendments Annex C 2021.12.16
  • OSC Webinar: Amendments Modernizing Reg Info, Clarifying OA Reporting and Filing
Completion rules
  • All units must be completed
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