Topical and relevant. Understand more about Investment Fund Sales Practices regarding compliance for Promotional Items and Business Promotion Activities from the Investment Fund Manager Perspective. Earn a Compliance CE credit while learning how Investment Fund Managers address and adhere to Investment Fund Sales Practices when working with Investment Advisors and their Investment Dealerships.
- Introduction & Overview
- Rules for Sales Practices : Promotional Items & Business Promotion Activities
- How the Rules are established for an IFM/PM
- How an IFM/PM engages the Rules
- Practical Examples from the IFM/PM perspective
- Q & A
Chief Compliance Officer
Harvest Portfolios Group Inc.
David joined Harvest in January 2015 and brings over 25 years of experience through a progressive career in the investment fund management business. Prior to his current position, David was Vice President of Compliance from January 2015 to September 2015. Prior to joining Harvest, David has held positions of Chief Operating Officer, Chief Compliance Officer, Secretary-Treasurer and Director at two investment management firms. During his career, David has worked in the areas of operations, financial reporting, compliance, client service and fund product development.
David has spent time sitting on investment fund industry committees and boards of investment funds in various capacities. David has successfully completed senior Canadian Securities Institute courses such as the Partner, Directors and Officers Qualifying Exam and the Chief Compliance Officers Qualifying Exam.
Accreditation Body: IIROC
Course Type: Video
Passing Grade: 8/10 (80%)