Industry

Calendar of Events


Registrant Outreach offers a series of free educational seminars to registrants and other industry participants to help them understand their regulatory requirements.

Click on the seminars below to see more details, including a description of the seminar and the benefits of attending. Space is limited, so sign up early.



Upcoming seminars

CSA Consultation Paper 33-404

Date: Session A: Webinar
June 20, 2016
Session B: In-Person
June 23, 2016
Time: 1:00 p.m. – 3:00 p.m. 2:00 p.m. – 4:00 p.m.

Location for In-person Session: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON
Description: This seminar will provide an overview of CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients, including the proposed targeted reforms (e.g. conflicts, KYC, KYP, suitability, use of titles) and proposed regulatory best interest standard described in the Paper.
Who should attend: Dealers and advisers who are interested in the proposals in CSA Consultation Paper 33-404 and who would like more information about this initiative.
Benefits:

Gain an awareness of the background and content of CSA Consultation Paper 33-404.

Documents
  • Slides: Consultation Paper 33-404



  • Past seminars

    Completing the Risk Assessment Questionnaire

    Date: Session A: Webinar
    May 30, 2016
    Session B: In-Person
    May 31, 2016
    Time: 2:00 p.m. – 4:00 p.m. 2:00 p.m. – 4:00 p.m.

    Location for In-person Session: 22nd Floor Training Room
    Ontario Securities Commission
    20 Queen Street West
    Toronto, ON
    Description: This seminar will assist registrants in completing the 2016 Risk Assessment Questionnaire (RAQ). The RAQ is a useful tool in identifying high risk areas of a registrant’s business and assisting CRR staff in executing its risk-based approach to compliance field reviews. The seminar will touch on frequently asked questions and walk participants through areas of the RAQ which have been challenging for registrants in the past.
    Who should attend: Individuals who will be involved in the completion of the RAQ for their registrant firm.
    Benefits:

    Understand the purpose of the RAQ, staff’s expectations for completing the RAQ and make the completion process more effective and efficient for your firm.

    Documents
  • Webinar - Completing the Risk Assessment Questionnaire
  • Slides: Completing the Risk Assessment Questionnaire

  • Mutual Fund Fees

    Date: Session A: Webinar
    February 11, 2016
    Session B: In-Person
    February 11, 2016
    Time: 10:00 a.m. – 12:00 p.m. 2:00 p.m. – 4:00 p.m.

    Location for In-person Session: 22nd Floor Training Room
    Ontario Securities Commission
    20 Queen Street West
    Toronto, ON
    Description: This seminar will provide details on the independent research that was commissioned by the CSA on mutual fund fees. Dr. Edwin Weinstein, President of The Brondesbury Group, will discuss the findings as outlined in its report entitled “Mutual Fund Fee Research”. Professor Douglas Cumming, Ontario Research Chair at the Schulich School of Business at York University, will discuss the results of his research as outlined in the paper "A Dissection of Mutual Fund Fees, Flows and Performance".
    Who should attend: Investment fund industry participants, such as investment fund managers and dealers and advisers who recommend mutual funds to their clients, who are interested in the research conducted by The Brondesbury Group and Professor Cummings
    Benefits: Gain an awareness of the research done to date on mutual fund fees.
    Documents:
  • Slides: Dissection Fund Fees Flows Slides
  • OSC Advisor Compensation & Investor Outcomes
  • Frequently Asked Questions (FAQ) about Dissection of Mutual Fund Fees, Flows and Performance Report


    Compliance with Money Laundering Legislation

    Date: Session A: Webinar
    April 14, 2016
    Session B: In-Person
    April 14, 2016
    Time: 10:00 a.m. – 12:00 p.m. 2:00 p.m. – 4:00 p.m.

    Location for In-person Session: 22nd Floor Training Room
    Ontario Securities Commission
    20 Queen Street West
    Toronto, ON
    Description: Representatives from FINTRAC will discuss its risk based approach to compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its role in detecting, preventing and deterring money laundering. OSC staff will also discuss its approach to monitoring compliance with the PCMLTFA during compliance reviews and discuss common findings in this area.
    Who should attend: Registered representatives, chief compliance officers and ultimate designated persons of registrant firms that are reporting entities.
    Benefits: Hear about issues identified by both the OSC and FINTRAC in this area for consideration at your firm from a compliance standpoint to enhance policies and procedures relating to the PCMLTFA
    Documents:
  • Slides: Compliance with Money Laundering legislation