Delivered by e-mail
September 21, 2015
The Ontario Securities Commission (OSC) today published an Annual Summary Report, which sets out expectations for firms and individuals directly regulated by the OSC.
OSC Staff Notice 33-746 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers describes the ongoing efforts of the OSC?s Compliance and Registrant Regulation Branch undertaken during the Fiscal Year 2014-2015 including registration and compliance activities, policy initiatives and new programs.
"Our Notice summarizes new initiatives and their expected impact on registrants as well as current trends we identified in compliance reviews and registration," said Debra Foubert, Director of Compliance and Registrant Regulation at the OSC. "The Notice will help keep registrants abreast of changes to their regulatory obligations; we encourage registrants to read our Notice and use it as a self-assessment tool."
The Notice will also be published in the OSC Bulletin on Thursday September 24, 2015.
The OSC remains committed to continuing its dialogue with registrants, as industry engagement is paramount to ensuring strong regulatory compliance. This is evident through our Registrant Outreach program. Any questions regarding the Report can be addressed to:
Compliance and Registrant Regulation