About the OSC
Compliance and Registrant Regulation
The Compliance and Registrant Regulation (CRR) Branch is responsible for regulating firms and individuals who are in the business of advising or trading in securities or commodity futures, and firms that manage investment funds in Ontario.
Ontario securities law establishes the regulatory framework for the registration of firms and individuals. The CRR Branch reviews and approves firms and individuals for initial and ongoing registration, and reviews applications for exemptive relief. Branch staff monitor compliance with Ontario securities law by conducting reviews of certain firms using a risk-based approach. They also promote compliance with requirements for registrants through staff notices and other guidance.
Branch staff lead OSC policy initiatives related to the regulation of registered firms and individuals in Ontario and are actively involved in policy initiatives of the Canadian Securities Administrators. They also provide specialized expertise to other Branches, the Commission and its stakeholders on compliance and registration matters under the Securities Act and Commodity Futures Act.
Registered firms and individuals who comply with regulations help foster confidence in the capital markets. The CRR Branch works to balance the dual tenets of investor protection and capital market efficiency so that registration requirements are responsive to the needs of investors and the securities industry.
