Delivered by e-mail
Subject: Get ready for the 2016 Risk Assessment Questionnaire
This email is to provide you with advance notice that on May 18, 2016, you will receive a risk assessment questionnaire (Questionnaire) from staff of the Ontario Securities Commission (OSC). You must complete and submit the Questionnaire online by June 29, 2016.
The Questionnaire is used by the OSC to collect comprehensive information about your firm for the purposes of risk ranking our registrants. We issued a Questionnaire in 2014 to you. We have updated the 2016 Questionnaire; however, we have not made significant changes to the questions which will allow you to begin preparation for its completion in advance of receiving it on May 18, 2016. The 2014 Questionnaire can be found here for your reference.
On May 18, 2016 you will receive an email containing the following information:
- a link to the interactive Questionnaire
- a spreadsheet to be completed by IFMs who also manage non-prospectus qualified funds
- an FAQ and User Guide
- a PDF version of the Questionnaire (Note: PDF is for your reference only. Responses must be provided online through the link attached to the email.)
- a list of staff members from the Compliance and Registrant Regulation Branch (CRR), and the Strategy and Operations Branch to contact should you have any questions
To assist you in completing the Questionnaire, CRR is offering both a webinar and an in-person Registrant Outreach session on this topic. The webinar will take place on May 30 from 2-4 p.m. and the in-person session will take place on May 31 from 2-4 p.m. These seminars will assist you in completing the Questionnaire and highlight areas where there have been frequently asked questions in the past. Individuals who will be involved in the completion of the Questionnaire are encouraged to sign up by visiting the dedicated outreach webpage.
The 2016 Questionnaire currently supports the following web browsers:
- Internet Explorer 8.0 and 9.0 (if using Internet Explorer 10 or later, please turn on the browser's Compatibility View Settings)
- Firefox 10.0, 11.0 and future fix packs
- Google Chrome 18 and future fix packs
The 2016 Questionnaire may not function properly if it is used on other browsers.
Please contact us as soon as possible at ComplianceSurvey@osc.gov.on.ca if you do not receive the email on May 18, 2016.