Industry

Registrant Outreach


  1. Overview
  2. Registered Firms in Ontario
  3. Educational Seminars
    Calendar of Events
  4. Registrant Outreach Community
  5. Registrant Committee
  6. Registrant Resources
    Topical Guide for Registrants
  7. Contact Us

Overview

The mission of the Registrant Outreach program is to promote strong proactive compliance practices by registrants by opening the lines of communication between the Ontario Securities Commission and Chief Compliance Officers, as well as other senior officers of registered portfolio managers, investment fund managers, exempt market dealers and scholarship plan dealers.

To encourage an interactive and open dialogue between registrants and the OSC, this dedicated webpage will:

  • provide registrants with easy access to useful, compliance related information
  • outline upcoming educational seminars
  • facilitate ongoing communication through a subscription service, or through other direct contact methods described below

Registered firms and individuals with strong compliance practices foster confidence in the capital markets and promote increased investor protection. Registrants are encouraged to visit this page frequently to enhance their awareness of current issues in the capital markets that are important to them, and about upcoming outreach initiatives in which they may wish to participate.


Registered Firms in Ontario

The OSC oversees approximately 1,300 firms and 67,000 individuals in Ontario that trade or advise in securities or commodity futures, or act as investment fund managers. Although the OSC registers firms in the categories of mutual fund dealer and investment dealer, these firms and individuals are directly overseen by their self-regulatory organizations, the Mutual Fund Dealers Association of Canada and the Investment Industry Regulatory Organization of Canada, respectively.

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Educational Seminars

Education and outreach to registrants are important elements of the OSC Registrant Outreach program. As part of its mission to foster a culture of compliance and to protect investors, the outreach program is offering a series of seminars on a variety of topics that are specifically tailored to compliance and registration issues affecting registrants. Led by OSC staff and industry representatives, participants will benefit from the training on regulatory issues affecting registrants.

The seminars are offered free of charge. Please visit the Calendar of Events to see a description of the seminars being offered, the related agendas and to register online. All presentation materials will be archived under Registrant Resources after the seminar.

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Registrant Outreach Community

The OSC encourages registrants and other industry participants to join the Outreach Community to receive regular updates on issues affecting them. If you are not a Chief Compliance Officer that is already receiving E-mail blasts from us, sign up to become a member of the Registrant Outreach Community and receive notice of initiatives and publications affecting registrants. These notices will provide subscribers with further direction on compliance related matters and the OSC’s expectations.

To receive regular updates, join the Registrant Outreach Community.

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Registrant Committee

The OSC formed its Registrant Advisory Committee (RAC) to serve as a forum to discuss issues and challenges faced by registrants in interpreting and complying with Ontario securities law, including registration and compliance related matters.

The RAC also plays a consultative role by providing feedback to the OSC on the development and implementation of policy and rule making initiatives that promote investor protection and fair and efficient capital markets.

Debra Foubert, Director of the Compliance and Registrant Regulation Branch, Chairs the RAC. The RAC is composed of members representing the different registration categories and business models overseen by the OSC. The Committee meets approximately four to six times per year, in addition to possible ad hoc meetings as required, with members serving two-year terms.

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Registrant Resources

The Registrant Resources section of the webpage provides registrants and other industry participants with easy, centralized access to recent compliance related materials, many of which are contained elsewhere on the OSC website.

Topical Guide for Registrants

The Topical Guide for Registrants provides registrants and other industry participants with easy, centralized access to compliance and registration guidance materials, organized by topic. The guidance materials in the Topical Guide for Registrants can also be found elsewhere on the OSC website.


Registration requirements

OSC Compliance reviews

Registrant conduct matters

  • Director’s Decisions relating to opportunities to be heard

Staff Notices and communications with registrants





Education Seminars




Information for Investment Funds

Frequently asked questions

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Contact Us

Contact us if you have questions. If you have questions related directly to the Registrant Outreach program or have suggestions for seminar topics, you may send an email to RegistrantOutreach@osc.gov.on.ca.

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