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.

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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