Investment Funds Sales Practices

June 26, 2019

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.

 

Agenda:

  • Introduction & Overview
  • Rules for Sales Practices : Promotional Items & Business Promotion Activities
    Current Environment
  • 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

Speaker:

David Balsdon
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 Details

Accreditation Body:   IIROC
Competency:              Compliance
Credits:                        1.00
Course Type:              Video
Passing Grade:           8/10 (80%)

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Certain statements in the Harvest Blog are forward looking Forward-looking statements (“FLS”) are statements that are predictive in nature, depend upon or refer to future events or conditions, or that include words such as “may,” “will,” “should,” “could,” “expect,” “anticipate,” “intend,” “plan,” “believe,” or  “estimate,” or other similar expressions. Statements that look forward in time or include anything other than historical information are subject to risks and uncertainties, and actual results, actions or events could differ materially from those set forth in the FLS.

FLS are not guarantees of future performance and are by their nature based on numerous assumptions, which include, amongst other things, that (i) the Fund can attract and maintain investors and have sufficient capital under management to effect their investment strategies, (ii) the investment strategies will produce the results intended by the portfolio managers, and (iii) the markets will react and perform in a manner consistent with the investment strategies. Although the FLS contained herein are based upon what the portfolio manager believe to be reasonable assumptions, the portfolio manager cannot assure that actual results will be consistent with these FLS.

Unless required by applicable law, Harvest Portfolios Group Inc. does not undertake, and specifically disclaim, any intention or obligation to update or revise any FLS, whether as a result of new information, future events or otherwise.

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