Two years ago, I was appointed compliance monitor for an exempt market dealer that had been registered for less than a year. It was not my first appointment, although it was the first one working with a very new firm. That appointment and the work I’ve done with many of my exempt market dealer clients has helped me realize that many newly registered firms start with a huge disadvantage. They simply don’t know, and certainly don’t understand, the rules that apply to them. You may be very familiar with the regulations in the industries you have been involved in for years, but securities regulation may be new to you. It doesn’t matter that you have passed the necessary courses to become registered. Those courses are mainly theory and much of the course content is not adapted to what you face daily in your business.
My name is Veronica Armstrong, and I have been practicing securities law almost since I arrived in Canada in 1998. I worked at the BC Securities Commission for nine years and have been in private practice since 2009. Our firm includes highly respected securities lawyers, compliance consultants, and registration experts, along with our hardworking administrative staff. Almost all of us have experience working at a securities regulator, which places us in a unique position to understand why regulations are sometimes shaped the way they are. It also gives us insight into how the regulators think and what drives their decisions. Our clients include exempt market dealers, portfolio managers, and investment dealers, as well as issuers in the mortgage investment, real estate development, and tech spaces.
We realize that the pace of regulatory change places a significant burden on your compliance system, and we are ready to help. We have developed a 10-part webinar series as a primer for exempt market dealers. Whether you are newly registered or simply overwhelmed by all the client-focused reforms that have taken place in the last year, our program will help simplify what you need to know to ensure you become, and remain, compliant. The program is modular, and you can choose which modules are a priority for you. Each module is roughly 20 minutes long, which means it doesn’t take much time to complete the program. And it is self-paced, so you work at it when you want.
To find out more about the course, click here. To find out more about our team and the services we offer, visit our website.
