Expert Series – Brokers Triggering Securities Registration: The Line
| Title: | BROKERS TRIGGERING SECURITIES REGISTRATION: THE LINE |
|---|---|
| Location: | Delivered in an Interactive Zoom Environment |
| Start date: | 17 January, 2023 |
| Cost: | $0.00 for members or $45.00 for non-members |
Expert Series – Brokers Triggering Securities Registration: The Line
Presented by CMBA-BC
Tuesday, January 17, 2023, at 9:30AM
FREE For CMBA-BC Members
$45 + Tax for Non-Members
Mortgage brokers sometimes, in everyday practice, even unknowingly, engage in activities that require them to obtain registration under the Securities Act.
- What brokering activities trip Securities Act registration requirements?
- What brokering activities are permissible or exempted?
- Are you, without Securities Act registration, able to:
- advise an investor/lender how a mortgage fits into their portfolio?
- advertise an anticipated return to attract investor clients?
- in effect, make the lending decision for your private lender client?
Our expert, lawyer Veronica Armstrong, will share her vast knowledge in the area with an interactive presentation, containing discussions of real-life scenarios and answers to your questions.
This webinar will make you a more informed and complete broker. It will make you better able to conduct your business.
OUR SPEAKER:
Veronica Armstrong
Veronica Armstrong is President of Veronica Armstrong Law Corporation, which has been serving investment firms in British Columbia since June 2009. The firm assists clients with applying for their registration as dealers or portfolio managers, writing their policies and procedures in clear language, training their staff, reviewing their practices, and acting as compliance monitor when engaged for that purpose.
Veronica spent several years in policy development and compliance at the BC Securities Commission, where she was Acting Compliance Manager in the Capital Markets Regulation Division. Subsequently, Veronica was hired by egX Group Inc. to develop and implement listing rules for the marketplaces egX was developing around the world.
Before her arrival in Canada, Veronica was head of the international and corporate legal team of a major South African bank, where she led the legal work in international project finance and derivatives.
OUR HOST:
Geoff Parkin
Currently a mortgage broker with Select mortgage, Geoff has both CPA and Chartered Financial Analyst designations. Prior to his time with Select Mortgage, he held positions at Pacific Coast Savings Credit Union in Victoria and most recently at Coast Capital Savings Credit Union as VP Subsidiary Operations which included real estate, mortgage broker operations, and real estate appraisal.
Geoff is a former Victoria resident and currently a White Rock resident and active member of his community. Currently I lend my time as a member of the board for the BC Children’s Hospital Foundation, and as the President of the Mortgage Brokers Institute of BC. Previous industry volunteer roles have included President, and Chair Ethics Committee for the Mortgage Brokers Association of BC.
THANK YOU TO OUR SPONSORS:
