Learn how Bringing New Issues to Market can help you perform your compliance obligations to a higher standard.
Due diligence in connection with a public offering is the process by which underwriters take reasonable steps to ensure that all material information is included in a prospectus. The Bringing New Issues to Market course begins with an overview of that process and then summarizes IIROC’s Guidance Note 14-0299, Guidance Respecting Underwriting Due Diligence, a set of enhanced compliance guidelines for retail and institutional registrants.
Benefits
The Bringing New Issues to Market two-part mini-course will help you understand the various procedures and disclosure rules pertaining to the issuance of securities to the market, including the safeguards and requirements designed to ensure that the investing public is protected. It will also help you perform your role more effectively by applying consistently high due diligence standards during the underwriting process.
Who Should Enrol
New Issues to Market is designed for investment advisors, retail and institutional compliance personnel, exempt market dealing representatives, and individuals licensed to sell securities that are subject to Compliance CE requirements. It is also recommended for investors who want to further their knowledge of the securities industry.