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Private Placements and Prospectus-Exempt Securities

 

IIROC has made compliance with private placement and prospectus exemptions regulations a priority. Recent changes have been introduced to available prospectus exemptions by Canadian regulators as there continues to be a focus on dealers’ due diligence of exempt investment products and the process of offering them to clients. Dealers and their representatives must ensure that clients are properly qualified to purchase exempt securities, and that prescribed limits are not exceeded.

The Private Placements and Prospectus-Exempt Securities course will help you understand the new and ongoing regulatory environment for private placements and prospectus exemptions. You will understand the fundamentals of the private placement process and how to assess client suitability. You will learn about the functioning and regulatory processes of private markets. You will be able to determine the qualifications for exemptions based on new, updated regulations. An overview of the various private placement structures will enhance your ability to effectively implement investment choices for clients.

Who should enrol:

Private Placements and Prospectus-Exempt Securities is designed for financial professionals. This includes investment advisors, representatives and compliance personnel. It is also recommended for individuals who are subject to compliance and CE requirements for professional development.