Location: CALGARY, Alberta, Canada

Event Date/Time: May 11, 2004 End Date/Time: May 12, 2004
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Lawyers practising corporate and commercial law
Corporate Counsel
Professional Accountants
Investment Dealers
Lawyers wishing to specialize in or increase their familiarity with securities law
Financial Executives
Securities Regulators

May 11-12, 2004 • Hyatt Regency Calgary • Calgary
Two days of “hands on” instruction
Learning the securities rules and understanding their practical application is a full-time job. If you have had occasional exposure to securities matters and wish to gain a thorough grounding in the most important current issues, this course – now in its twentieth year – will provide it.

Canadian securities rules are constantly being revised in most provinces. A rule-making and policy reformulation exercise has been in progress in Ontario and in other provinces. As well, Canadian securities commissions have implemented international understandings that extend the acceptance of Canadian disclosure documents beyond Canada’s borders. The larger securities commissions have become self-funding and have used their resources to expand the reach of their regulation. Given the pace of change and the complexity of existing law, corporate counsel, accountants, investment dealers and lawyers practising corporate law must have a greater familiarity with current securities practice and the details of proposed legislation and policy.

This acclaimed two-day course is intended for those with some understanding and exposure to securities matters but not for the specialist. The curriculum goes well beyond a survey of rules, to include problem sets that illustrate the interaction of provincial rules, and highlight the practical problems that recur in the key areas of
securities practice.

The number of participants is limited to permit the faculty to take a “hands on” approach to the material. The course begins with an examination of essential concepts of securities regulation and develops the tools necessary to deal with problems of securities practice, and the tactics for dealing with securities regulators. Extensive reference will be made to precedents. Real life fact situations will be used to underscore important points and emphasize how the theory is applied in practice.

When you complete this course:

You will know how to make an application to a securities regulator, know which regulators are responsible for dealing with various kinds of typically encountered securities matters, and know whom to contact when.
You will understand the key distinction between statutory requirements, rules and policy, and the importance of the “unwritten rules” of the regulatory environment. And, on a very practical level, you will be more comfortable with various forms of disclosure documents.