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PCMA Compliance Network Conference Call and Webinar
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When: Wednesday, March 27, 2019
2:30 PM
Where: Miller Thomson LLP
40 King Street West - Suite 5800
Toronto, Ontario  M5H 3S1

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Co-Chairs of the PCMA Compliance Network:

David Gilkes, PCMA Director and President, North Star Compliance and Regulatory Solutions Inc.

Nadine Milne, Chief Compliance Officer, Portland Investment Counsel Inc.


Guest Speaker Topic: Sales Practices and Marketing Relating to OMs

Guest Speaker: Peter A. Dunne, Partner


Peter Dunne’s practice focuses on the Canadian investment industry, combining his expertise in securities regulatory matters, fund formation and capital raising to serve clients in this space. Peter is one of Canada’s leaders in securities regulatory law and was one of the first lawyers in the country to focus his practice on the regulatory aspects of the investment industry. Peter acts for registered dealers, advisers and investment fund managers across the country and provides advice to international firms in connection with operating in Canada. Peter and his team assist in the initial registration of firms and individuals under securities legislation, advise on the regulatory implications of operational matters and liaise with securities regulators on behalf of clients. Peter also represents parties buying or selling registered firms, including both public and private mergers and acquisitions, and advises on reorganizations. Peter has extensive experience representing clients in securities regulatory investigations and enforcement actions.


In addition to his securities regulatory expertise, Peter has extensive experience in fund formation, representing clients in the creation and operation of all manner of funds, including public mutual funds, private pooled funds, hedge funds, private equity and venture capital funds, public and private flow-through limited partnerships, commodity pools, private real estate investment structures and exchange-traded funds. Peter advises clients on the distribution of securities of funds, both by prospectus and under exemptions from the prospectus requirement, and assists in the preparation of prospectuses and offering memoranda. Peter’s experience includes fund mergers, terminations and change of manager transactions, along with the regulatory requirements involved in those transactions.


Peter’s combined experience in securities regulatory matters and fund formation enables him to assist many clients in anticipating and addressing their needs in launching, operating or acquiring a business in the Canadian investment industry. Peter also represents public and private companies and has extensive experience in public and private capital raising and in listing on stock exchanges and accessing other markets.


Peter is a director of the Private Capital Markets Association of Canada (PCMA), an industry group comprising exempt market dealers, private issuers and other participants in the private capital market in Canada. In this capacity, Peter participates in the formation of regulatory policy in this important aspect of the Canadian investment industry. Peter is a frequent contributor to PCMA publications.


Peter authored materials used in connection with the exempt market products exam – one of the courses designated by the Canadian securities regulators as an exam-based proficiency requirement for registration with an exempt market dealer in Canada. He has also been a guest lecturer on investment funds for the LL.M. program offered by Osgoode Hall Law School and is a frequent speaker at industry conferences.



Please let us know if you have any specific questions you would like us to cover during the Q&A component of the meeting. An agenda will be provided in advance of the call.  


All PCMA members are invited to join the PCMA Compliance Network.