OSC: Compliance - CVMO: Conformité

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Compliance

This section contains information to assist mutual fund dealers, securities dealers and advisers in complying with the Ontario Securities Act and Regulation.

10 Most Common Deficiencies Among Portfolio Managers in PDF

OSC Staff Notice 33-730 - Capital calculation for Investment Counsel/Portfolio Managers

OSC Staff Notice 11-762 - A focused review of the securities valuation and expense allocation practices of fund managers

OSC Staff Notice 33-731 (Commercial Version) - 2008 Compliance Team Annual Report in PDF

OSC Staff Notice 33-731 (OSC Bulletin Version) - 2008 Compliance Team Annual Report in PDF

2008 Compliance Risk Assessment Questionnaire: Frequently Asked Questions (FAQ) and User Guide in PDF

2008 Compliance Risk Questionnaire Advisors (ICPM) in PDF

2008 Compliance Risk Questionnaire Fund Managers in PDF

OSC Staff Notice 33-729 - Marketing practices of Investment Counsel/Portfolio Managers

OSC Staff Notice 33-728 - 2007 Annual Report - Compliance Team

Compliance Frequency Asked Questions

11-760 - Report on Mutual Fund Sales Practices under Part 5 of National Instrument 81-105 - Mutual Fund Sales Practices

11-752 - Limited Market Dealer Initiative - Compliance Team

11-758 - Review of Limited Market Dealers

OSC Report on the Compliance Team, Capital Markets Branch, OSC

33-725 - Industry Report on Scholarship Plan Dealers in PDF

33-724 - OSC Compliance Team, Capital Markets Branch 2004 Annual Report

33-724 - OSC Compliance Team, Capital Markets Branch 2003 Annual Report

33-724 - OSC Compliance Team, Capital Markets Branch 2002 Annual Report

Registrant Communication: Money Laundering Advisory

Mutual Fund Dealer Compliance Issues, January 1999

Registrant Communication: Compliance by Advisers Registered with the OSC and the SEC.

FAQ's about MFDA

Books and Records Requested for Compliance Reviews

IC/PM review in PDF

Limited market dealer review in PDF

Fund manager review (key functions performed in-house) in PDF

Fund manager review (key functions outsourced to service providers) in PDF

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