Dealers, Advisers and Investment Fund Managers
OSC Compliance Reports & Staff Notices
OSC Compliance annual reports
The Compliance team issues annual reports that include the results of compliance reviews, common deficiencies identified in the reviews and suggested best practices.
For more information:
- OSC Staff Notice: 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
- OSC Staff Notice: 33-734 2010 Compliance and Registrant Regulation Branch Annual Report
- OSC Staff Notice: 33-732 2009 Compliance Team Annual Report
- OSC Staff Notice: 33-731 2008 Compliance Team Annual Report
Other OSC Compliance staff notices
The Compliance team may also issue staff notices on various topics. This includes staff notices that summarize our views and findings on common deficiencies we identified during compliance reviews of firms.
Below is a listing of some recent staff notices issued by the OSC or the Canadian Securities Administrators that are of particular interest to registered firms:
All registered firms:
- CSA Staff Notice: 31-314 – NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of February 5, 2010
- CSA Staff Notice: 31-313 – NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of December 18, 2009
- CSA Staff Notice: 33-315 Suitability Obligation and Know Your Product
Advisers:
- CSA Staff Notice: 31-325 - Marketing Practices of Portfolio Managers
- 10 Most Common Deficiencies Among Portfolio Managers (October 2008)
- OSC Notice: 33-729 Marketing Practices of Investment Counsel/Portfolio Managers
Investment fund managers:
- OSC Staff Notice: 33-733 Report on Focused Reviews of Investment Funds, Sept 2008 - Sept 2009
- OSC Notice: 11-763 A Focused Review of the Securities Valuation and Expense Allocation Practices of Fund Managers
- OSC Staff Notice: 11-760 Report on Mutual Fund Sales Practices under Part 5 of National Instrument 81-105 – Mutual Fund Sales Practices
Exempt market dealers:
- OSC Staff Notice: 11-758 Review of Limited Market Dealers
- CSA Staff Notice: 31-312 – The Exempt Market Dealer Category under NI 31-103 Registration Requirements and Exemptions
Scholarship plan dealers:
