news & events
Submissions archive
September 19, 2012
Comment Letter for CSA Consultation Paper 25-401: Potential Regulation of Proxy Advisory Firms
The Portfolio Management Association of Canada (“PMAC”, formerly the Investment Counsel Association of Canada (“ICAC”)), through its Industry, Regulation and Tax Committee, is pleased to have the opportunity to submit the following general comments regarding CSA Consultation Paper 25-401: Potential Regulation of Proxy … Continue reading →
September 11, 2012
PMAC First Annual Compliance Forum – September 11, 2012
Compliance Basics – Part 1: The Client Lifecycle Read presentations Compliance Basics – Part 2: The Firm Read presentations Registration Requirements for Firms and Individuals – Jason Chertin Registrant Compliance: The New Normal – Being Review Ready Read presentations … Continue reading →
September 11, 2012
Investor Trust: Going Beyond Regulation – Compliance Officers’ Network (September 11, 2012)
Read Presentation CFA Asset Manager Code
August 29, 2012
PMAC & Ashland GIPS – 2012 Critical Updates Workshop
Read presentation Read presentation Handbook Updates
August 29, 2012
Follow-Up Letter to Department of Finance on Prohibited Investment Rules
Following our letters of December 13, 2011 and March 8, 2012 and past discussions with the Department of Finance staff where we discussed our concerns with the ”prohibited investment” rules (the “Rules”) under Part X1.01 of the Income Tax Act, … Continue reading →
July 10, 2012
Follow-Up Letter to Ontario Securities Commission (OSC) New Procedure of Calling Investors
The Ontario Securities Commission (OSC) announced in June 2012 that it will be conducting a targeted review (sweep) of a sample of registered dealers and advisers to assess their compliance with know-your-client (KYC), know-your-product (KYP) and suitability obligations. The OSC … Continue reading →
May 29, 2012
Anti-Money Laundering Compliance – Training your Employees
Read presentation – English Read presentation – French
April 5, 2012
Follow-Up Letter to Department of Finance on Designated Stock Exchanges Expansion
We are following up on our meeting of October 27, 2011 in which we discussed the Portfolio Management Association of Canada’s (“PMAC”) recommendation to expand the Designated Stock Exchange list. Read letter
April 4, 2012
U.S. Securities & Tax Law Developments: Learn About Your U.S. Reporting Obligations – FATCA, PFIC and More
Read presentation
February 28, 2012
OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers – Focus Topics on Adviser Activities and Regulatory Perspective for PMAC Compliance Officers Network
Read presentation
February 19, 2012
Comment Letter for CSA Consultation on Mandating OBSI
The purpose of this program is to facilitate dispute resolution services for PMAC member companies (PMAC Members) and their clients. This service is designed to comply with the requirement in NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI … Continue reading →
January 26, 2012
NI 31-103 Dispute Resolution Service Requirements – What Does It Mean?
Read presentation
December 6, 2011
SEC Notice — Large Trader Reporting Rules
Presenter: Jane Kanter, Partner, Dechert LLP Audio [soundcloud url=”http://api.soundcloud.com/tracks/29907504?secret_token=s-uUkIl” params=”show_comments=true&auto_play=false&color=ff7700″ width=”100%” height=”81″ ]
December 6, 2011
Compliance Officers’ Network Presentation: Prohibited Investment Rules: An Overview, December 6, 2011
Read Presentation
September 21, 2011
McMillan – Securing and Sustaining “Mutual Fund Trust” Status – Tips & Traps
Read Presentation
May 10, 2011
Global Investment Performance Standards (GIPS ®) Understanding compliance and it’s Effect on Your Business
Read presentation
May 2, 2011
Starting A Pooled Fund
Presenters: Pierre-Yves Chatillon Dennis MacPherson Joe Banwait Don McDonald Audio Part 1: [soundcloud url=”https://api.soundcloud.com/tracks/17647997?secret_token=s-h0e0R” params=”auto_play=false&hide_related=false&show_comments=true&show_user=true&show_reposts=false&visual=true” width=”100%” height=”450″ iframe=”true” /] Audio Part 2: [soundcloud url=”https://api.soundcloud.com/tracks/17650025?secret_token=s-bhgxq” params=”color=ff5500&auto_play=false&hide_related=false&show_comments=true&show_user=true&show_reposts=false” width=”100%” height=”166″ iframe=”true” /]