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  • OSC Dialogue 2016

    November 02, 2016

    Other

    OSC Dialogue 2016

    Join us at this year’s OSC Dialogue taking place on Wednesday, November 2, 2016 at the Toronto Board of Trade.

    Experts will discuss disruption in the capital markets and what it means for investors, regulation and economic growth.

    For inquiries, please e-mail dialogue@osc.gov.on.ca.

    Date: November 02, 2016
    Time: -
    Location: Toronto Board of Trade, 77 Adelaide St W, Toronto
    Event Details:

    Join us at this year’s OSC Dialogue taking place on Wednesday, November 2, 2016 at the Toronto Board of Trade.

    Experts will discuss disruption in the capital markets and what it means for investors, regulation and economic growth.

    To visit the OSC Dialogue 2016 web page click here.

    Subscribe to receive updates about OSC events and initiatives

    * indicates required

    For inquiries, please e-mail dialogue@osc.gov.on.ca.

  • OSC in the Community (Toronto)

    September 29, 2016 @ 1:00 PM - 1:45 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to members of Sprint Senior Care about fraud prevention, selecting and working with an advisor and how to make more informed decisions.

    Date: September 29, 2016
    Time: 1:00 PM - 1:45 PM
    Location: Timothy Eaton Church, 230 St. Clair Avenue W., Toronto, ON
    Event Details:

    OSC staff will be speaking to members of Sprint Senior Care about fraud prevention, selecting and working with an advisor and how to make more informed decisions.

  • OSC in the Community (Thunder Bay)

    September 28, 2016 @ 9:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Thunder Bay)

    Ontario Securities Commission, Canadian Anti-Fraud Centre, Elder Abuse Ontario and Centre for Education and Research on Aging & Health will present a half-day workshop entitled How to Protect Your Money!. OSC staff will talk about fraud prevention, working with an advisor and where to find unbiased information. See attached flyer for more information and to register.

    Date: September 28, 2016
    Time: 9:30 AM - 12:00 PM
    Location: Georgian Room, St. Joseph's Heritage, 63 Carrie Street, Thunder Bay, ON
    Event Details:

    Ontario Securities Commission, Canadian Anti-Fraud Centre, Elder Abuse Ontario and Centre for Education and Research on Aging & Health will present a half-day workshop entitled How to Protect Your Money!. OSC staff will talk about fraud prevention, working with an advisor and where to find unbiased information. See attached flyer for more information and to register.

  • OSC Chair Maureen Jensen Speaks at Toronto Region Board of Trade

    September 27, 2016 @ 11:30 AM - 1:30 PM

    Speech

    OSC Chair Maureen Jensen Speaks at Toronto Region Board of Trade

    In her first keynote address, Maureen Jensen, Chair and CEO of the Ontario Securities Commission (OSC), will discuss game-changing initiatives by regulators and what they will mean for market participants and investors.

    Date: September 27, 2016
    Time: 11:30 AM - 1:30 PM
    Location: Toronto Region Board of Trade, 1 First Canadian Place, 77 Adelaide St. W. Entrance, 4th Floor
    Event Details:

    In her first keynote address, Maureen Jensen, Chair and CEO of the Ontario Securities Commission (OSC), will discuss game-changing initiatives by regulators and what they will mean for market participants and investors. Topics will include the proposed best interest standard, regulatory consideration of mutual fund fees and the launch of the OSC's Office of the Whistleblower.


    Register here
  • OSC in the Community (Owen Sound)

    September 14, 2016 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Owen Sound)

    OSC staff will be a speaking at the Retired Women's Teachers of Ontario Owen Sound branch meeting. The Protect Your Money presentation will cover the red flags of investment fraud and how to work with their advisor.

    Date: September 14, 2016
    Time: 1:00 PM - 2:30 PM
    Location: Georgian Shores United Church, 997 4th Ave. E., Owen Sound, ON
    Event Details:

    OSC staff will be a speaking at the Retired Women's Teachers of Ontario Owen Sound branch meeting. The Protect Your Money presentation will cover the red flags of investment fraud and how to work with their advisor.

  • OSC in the Community (Toronto)

    August 17, 2016 @ 2:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to members of the Islington Seniors Centre. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: August 17, 2016
    Time: 2:00 PM - 3:00 PM
    Location: 4968 Dundas St. W., Toronto, ON
    Event Details:

    OSC staff will be speaking to members of the Islington Seniors Centre. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Markham)

    August 16, 2016 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to members of the Markham African Caribbean Canadian Association. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: August 16, 2016
    Time: 1:00 PM - 2:30 PM
    Location: 505 Hood Road, Unit 5, Markham
    Event Details:

    OSC staff will be speaking to members of the Markham African Caribbean Canadian Association. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Cambridge)

    August 09, 2016 @ 10:00 AM - 10:30 AM

    OSC in the Community

    OSC in the Community (Cambridge)

    OSC staff will be speaking at the Annual Convention of the United Senior Citizens of Ontario Inc. Convention attendees will learn about investment frauds and scam and how to work with their financial advisor.

    Date: August 09, 2016
    Time: 10:00 AM - 10:30 AM
    Location: Cambridge, Ontario
    Event Details:

    OSC staff will be speaking at the Annual Convention of the United Senior Citizens of Ontario Inc. Convention attendees will learn about investment frauds and scam and how to work with their financial advisor.

  • OSC in the Community (Toronto)

    June 23, 2016 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: June 23, 2016
    Time: 2:00 PM - 3:30 PM
    Location: TPL Dufferin/St. Clair Branch, 1625 Dufferin Street, Toronto
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • CSA Consultation Paper 33-404 (Session B: In-person)

    June 23, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Best Interest Standard (Session B: In-person)

    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.

    Date: June 23, 2016
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    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
  • CSA Consultation Paper 33-404 (Session A: Webinar)

    June 20, 2016 @ 1:00 PM - 3:00 PM

    Registrant Outreach Seminars

    Best Interest Standard (Session A: Webinar)

    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.

    Date: June 20, 2016
    Time: 1:00 PM - 3:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    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
  • OSC in the Community (Toronto)

    June 16, 2016 @ 2:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: June 16, 2016
    Time: 2:00 PM - 3:00 PM
    Location: TPL Wychwood Library, 1431 Bathurst Street, Toronto
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Sudbury)

    June 16, 2016 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Sudbury)

    OSC will be speaking about fraud awareness and prevention at the Greater Sudbury Seniors event hosted by the Greater Sudbury Seniors Network to celebrate World Elder Abuse Awareness Day. For more information, click here.

    Date: June 16, 2016
    Time: 10:00 AM - 3:00 PM
    Location: Royal Canadian Legion Branch 76, 1533 Weller Street, Sudbury, Ontario
    Event Details:

    OSC will be speaking about fraud awareness and prevention at the Greater Sudbury Seniors event hosted by the Greater Sudbury Seniors Network to celebrate World Elder Abuse Awareness Day. For more information, click here.

  • OSC in the Community (Etobicoke)

    June 14, 2016 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to the Investment Club of the Probus Club Kingsway/Islington. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: June 14, 2016
    Time: 1:30 PM - 3:00 PM
    Location: Fairfax Senior Centre, 80 Lothian Drive, Etobicoke, ON
    Event Details:

    OSC staff will be speaking to the Investment Club of the Probus Club Kingsway/Islington. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC Chair Maureen Jensen speaks at the International Women's Forum Canada Conference

    June 09, 2016 @ 2:30 PM - 6:00 PM

    Speech

    OSC Chair Maureen Jensen speaks at the International Women's Forum Canada Conference

    Maureen Jensen provides an update on the status of the new ‘comply or explain’ disclosure rules on gender diversity.

    Date: June 09, 2016
    Time: 2:30 PM - 6:00 PM
    Location: Park Hyatt Hotel
    Event Details:

    Maureen Jensen provides an update on the status of the new ‘comply or explain’ disclosure rules on gender diversity. She is followed by a panel of seasoned corporate directors, who address issues and challenges they faced in being effective directors.

    Panellists Include:

    • Mary-Ann Bell (Corporate Director, Cogeco Inc., Valener Inc., Cominar REIT and NAV Canada)
    • Beth Horowitz (Former President & CEO, Amex Bank of Canada)
    • Sherry Porter (Chair, Nova Scotia Liquor Corporation)
    • Sarah Raiss (Corporate Director, Loblaw Companies, Commercial Metals and Vermilion Energy)
    • Pauline Couture (Senior communications strategist and consultant) - Moderator
  • OSC in the Community (Ontario)

    June 09, 2016 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Ontario)

    The OSC's Investor Office recently introduced a new “teletownhall” outreach and consultation format that allows us to reach and connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To join the teletownhall on June 9 at 6:30pm, dial 1-877-229-8493 and enter ID Code: 115074.

    Date: June 09, 2016
    Time: 6:30 PM - 7:30 PM
    Location: Ontario
    Event Details:

    The OSC's Investor Office recently introduced a new “teletownhall” outreach and consultation format that allows us to reach and connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To join the teletownhall on June 9 at 6:30pm, dial 1-877-229-8493 and enter ID Code: 115074.

  • OSC Chair Maureen Jensen speaks on Women's Economic Empowerment Panel

    June 07, 2016 @ 9:45 AM - 11:00 AM

    Speech

    OSC Chair & CEO Maureen Jensen speaks on Women's Economic Empowerment Panel

    Maureen Jensen speaks on issues of women’s economic empowerment. The panel follows Premier Wynne's announcement that the Ontario government set gender diversity targets for provincial boards and agencies.

    Date: June 07, 2016
    Time: 9:45 AM - 11:00 AM
    Location: Rotman School of Management - 105 St. George St.
    Event Details:
    Panellists include:
    • Hon. Kathleen Wynne (Premier of Ontario)
    • Hon. Charles Sousa (Minister of Finance)
    • Hon. Tracy MacCharles (Minister Responsible for Women's Issues)
    • Dr. Phumzile Mlambo-Ngcuka (United Nations Under-Secretary-General and Executive Director, UN Women)
    • Deborah Gillis (President and CEO, Catalyst) - moderator
  • Completing the Risk Assessment Questionnaire (Session B: In-person)

    May 31, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Completing the Risk Assessment Questionnaire (Session B: In-person)

    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.

    Date: May 31, 2016
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details: Register (In-person)

    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.



    Register (In-person)
  • Completing the Risk Assessment Questionnaire (Session A: Webinar)

    May 30, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Completing the Risk Assessment Questionnaire (Session A: Webinar)

    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

    Date: May 30, 2016
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details: Register (On-line)

    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.


    Register (On-line)
  • OSC in the Community (Toronto)

    May 19, 2016 @ 1:15 PM - 2:45 PM

    OSC in the Community

    OSC in the Community (Toronto)

     OSC will be speaking to York-Fairbank Centre for Seniors members. The presentation will take place during their group dining program. The topics covered will include fraud prevention, the client-advisor relationship and how to make more informed investing decisions. For more information, contact 416-651-8300.

    Date: May 19, 2016
    Time: 1:15 PM - 2:45 PM
    Location: British Methodist Church, 1828 Eglinton St. W., Toronto
    Event Details:

    OSC will be speaking to York-Fairbank Centre for Seniors members. The presentation will take place during their group dining program. The topics covered will include fraud prevention, the client-advisor relationship and how to make more informed investing decisions. For more information, contact 416-651-8300.

  • OSC in the Community (Toronto)

    May 18, 2016 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

    Date: May 18, 2016
    Time: 1:30 PM - 3:00 PM
    Location: Toronto Public Library - St. James Branch, 495 Sherbourne Street, Toronto
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

  • OSC in the Community (Toronto)

    May 05, 2016 @ 1:15 PM - 2:45 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC will be speaking to York-Fairbank Centre for Seniors members. The presentation will take place during their group dining program. The topics covered will include fraud prevention, the client-advisor relationship and how to make more informed investing decisions. For more information, contact 416-651-8300.

    Date: May 05, 2016
    Time: 1:15 PM - 2:45 PM
    Location: Silverthorne Place, 600 Rogers Road, Toronto
    Event Details:

    OSC will be speaking to York-Fairbank Centre for Seniors members. The presentation will take place during their group dining program. The topics covered will include fraud prevention, the client-advisor relationship and how to make more informed investing decisions. For more information, contact 416-651-8300.

  • OSC in the Community (Toronto)

    May 03, 2016 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

    Date: May 03, 2016
    Time: 7:00 PM - 8:30 PM
    Location: Toronto Public Library - Mimico Centennial Branch, 47 Station Road, Toronto
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

  • OSC in the Community (Etobicoke)

    April 28, 2016 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Etobicoke)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, working with an advisor and how to make more informed investing decisions. This free presentation is hosted by CARP Etobicoke. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: April 28, 2016
    Time: 1:30 PM - 2:30 PM
    Location: Royal Canadian Legion, 11 Irwin Road, Etobicoke
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, working with an advisor and how to make more informed investing decisions. This free presentation is hosted by CARP Etobicoke. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Belleville)

    April 18, 2016 @ 12:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Belleville)

    Ontario Securities Commission will be speaking to the Rotary Club of Belleville about investment frauds and scams and fraud prevention.

    Date: April 18, 2016
    Time: 12:00 PM - 2:30 PM
    Location: Rotary Club, Travelodge/Ramada Inn, 11 Bay Bridge Rd,. Belleville
    Event Details:

    Ontario Securities Commission will be speaking to the Rotary Club of Belleville about investment frauds and scams and fraud prevention.

  • Compliance with Money Laundering Legislation (Session B: In-person)

    April 14, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Compliance with Money Laundering Legislation (Session B: In-person)

    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.

    Date: April 14, 2016
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details: 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
  • Compliance with Money Laundering Legislation (Session A: Webinar)

    April 14, 2016 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Compliance with Money Laundering Legislation (Session A: Webinar)

    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.

    Date: April 14, 2016
    Time: 10:00 AM - 12:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details: 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
  • OSC in the Community (Barrie)

    April 14, 2016 @ 10:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Barrie)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: April 14, 2016
    Time: 10:30 AM - 12:00 PM
    Location: Allandale Recreation Centre, 190 Bayview Drive, Barrie
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Toronto)

    April 12, 2016 @ 2:00 PM - 4:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Ontario Securities Commission (OSC) will be at the Senior's Safety Seminar organized by the Community Police Liaison Committee and 33 Division Toronto Police. Attend this event to learn about pedestrian safety, elder abuse and frauds and scams. Speakers from the OSC will talk about protecting your money from investment frauds and scams.

    Date: April 12, 2016
    Time: 2:00 PM - 4:00 PM
    Location: Community centre room, Better Living Health/Thompson House, 1 Overland Drive, Toronto
    Event Details:

    Ontario Securities Commission (OSC) will be at the Senior's Safety Seminar organized by the Community Police Liaison Committee and 33 Division Toronto Police. Attend this event to learn about pedestrian safety, elder abuse and frauds and scams. Speakers from the OSC will talk about protecting your money from investment frauds and scams.

  • OSC in the Community (Thornhill)

    April 07, 2016 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Thornhill)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: April 07, 2016
    Time: 7:00 PM - 8:30 PM
    Location: German Mills School, 61 Simonston Blvd., Thornhill
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Mississauga)

    March 31, 2016 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    Ontario Securities Commission will be at the Seniors Information and Active Living Fair. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: March 31, 2016
    Time: 1:30 PM - 3:00 PM
    Location: Square One Older Adult Centre, Square One Shopping Centre, 100 City Centre Drive, Mississauga
    Event Details:

    Ontario Securities Commission will be at the Seniors Information and Active Living Fair. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Toronto)

    March 24, 2016 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: March 24, 2016
    Time: 1:00 PM - 2:30 PM
    Location: City Hall Library, Toronto City Hall, 100 Queen St. W., Toronto M5H 2N2
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Fergus)

    March 18, 2016 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Fergus)

    Ontario Securities Commission will be at the Senior Centre's Active Living and Retirement Show. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: March 18, 2016
    Time: 1:00 PM - 2:00 PM
    Location: Centre Wellington Sportsplex - 550 Belsyde Ave., Fergus
    Event Details:

    Ontario Securities Commission will be at the Senior Centre's Active Living and Retirement Show. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Toronto)

    March 16, 2016 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Ontario Securities Commission will be at the Applegrove Active Living Fair. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: March 16, 2016
    Time: 1:00 PM - 2:00 PM
    Location: Applegrove Community Complex, 60 Woodfield Road, Toronto
    Event Details:

    Ontario Securities Commission will be at the Applegrove Active Living Fair. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Toronto)

    March 08, 2016 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: March 08, 2016
    Time: 1:00 PM - 2:30 PM
    Location: Albion Library, Shoppers World Mall Albion, 1515 Albion Rd., Toronto M9V 1B2
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Toronto)

    February 25, 2016 @ 6:30 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

    Date: February 25, 2016
    Time: 6:30 PM - 8:00 PM
    Location: College/Shaw Library, 766 College St., Toronto M6G 1C4
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

  • Insider Reporting and SEDI

    February 24, 2016 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Insider Reporting and SEDI

    This seminar will review insider reporting obligations for reporting issuers and their insiders under National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104). OSC staff will also provide a walk through on how to submit insider filings electronically on SEDI (System for Electronic Disclosure by Insiders) and discuss common filing errors and provide tips on how to avoid them.

    Date: February 24, 2016
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will review insider reporting obligations for reporting issuers and their insiders under National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104). OSC staff will also provide a walk through on how to submit insider filings electronically on SEDI (System for Electronic Disclosure by Insiders) and discuss common filing errors and provide tips on how to avoid them.


    Who should attend:

    Reporting insiders and individuals responsible for the preparation, review and filing of insider reports.

    Why You Should Attend:

    • To learn more about the requirements of NI 55-104 and National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI)
    • To understand the common issues noted by OSC staff when reviewing insider reports
    • To gain a better understanding of SEDI and how to navigate the system

    Documents

  • OSC in the Community (Toronto)

    February 17, 2016 @ 2:00 PM - 4:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Ontario Securities Commission will be at the Senior's Safety Town Hall together with speakers from Toronto Police Services, CARP and OSC. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

    Date: February 17, 2016
    Time: 2:00 PM - 4:00 PM
    Location: Old York Tower, 85 The Esplanade, Toronto
    Event Details:

    Ontario Securities Commission will be at the Senior's Safety Town Hall together with speakers from Toronto Police Services, CARP and OSC. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

  • OSC in the Community (Toronto)

    February 11, 2016 @ 6:30 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

    Date: February 11, 2016
    Time: 6:30 PM - 8:00 PM
    Location: Fairview Library, 35 Fairview Mall Dr., Toronto M2J 4S4
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

  • Mutual Fund Fees (Session A: Webinar)

    February 11, 2016 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Mutual Fund Fees (Session A: Webinar)
    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".

    Date: February 11, 2016
    Time: 10:00 AM - 12:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details: 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:
  • Mutual Fund Fees (Session B: In-person)

    February 11, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Mutual Fund Fees (Session B: In-Person)
    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".

    Date: February 11, 2016
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details: 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:
  • OSC in the Community (Toronto)

    February 01, 2016 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: February 01, 2016
    Time: 2:00 PM - 3:30 PM
    Location: Eatonville Library, 340 Burnhamthorpe Rd., Toronto M9B 2B1
    Event Details:

    A multi-faceted initiative, OSC staff have been travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff have been meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Raising money in the capital markets

    January 21, 2016 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Raising money in the capital markets

    The seminar will discuss securities regulatory issues for small and medium-sized companies looking to raise capital in the public and private markets. We will examine key requirements for public offerings and private placements, including information about new capital raising prospectus exemptions.

    Date: January 21, 2016
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The seminar will discuss securities regulatory issues for small and medium-sized companies looking to raise capital in the public and private markets. We will examine key requirements for public offerings and private placements, including information about new capital raising prospectus exemptions.


    Who should attend:

    • CEOs and CFOs
    • Directors
    • Legal counsel and other advisors

    Why You Should Attend:

    • To learn the options available for raising money in Ontario's capital markets
    • To obtain guidance on the specific process and requirements for raising capital and to understand the roles of the parties involved in the process
    • To understand the differences between public versus private financing options
    • Individuals and advisors of private companies considering going public may wish to attend to learn about ongoing public company requirements

    Slides:

    Raising Money in the Capital Markets
  • OSC in the Community (Toronto)

    January 20, 2016 @ 1:00 PM - 1:45 PM

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: January 20, 2016
    Time: 1:00 PM - 1:45 PM
    Location: North Toronto Memorial Community Centre, 200 Eglinton Ave. W., Toronto M4R 1A7
    Event Details:

    A multi-faceted initiative, OSC staff have been travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff have been meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Continuous Disclosure Obligations

    December 15, 2015 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Continuous Disclosure Obligations

    This seminar will include the review of obligations under NI 51-102 Continuous Disclosure Obligations, including MD&A and financial statement observations, venture issuer regulation, procedural information on MCTO/CTO, defaults and revocation of cease trade orders, gender diversity, fees, and other relevant topics.

    Date: December 15, 2015
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will include the review of obligations under NI 51-102 Continuous Disclosure Obligations, including MD&A and financial statement observations, venture issuer regulation, procedural information on MCTO/CTO, defaults and revocation of cease trade orders, gender diversity, fees, and other relevant topics.


    Who should attend:

    • CFOs
    • Advisors to companies
    • Preparers of financial statements & MD&A
    • In-house or external legal counsel

    Why You Should Attend:

    • To understand the important ongoing securities requirements
    • To be aware of common filing deficiencies so you can avoid them
    • To hear directly from OSC staff on best practices for engaging with staff on ongoing filing issues
    • Individuals and advisors of private companies considering going public may wish to attend to learn about ongoing public company requirements

    Documents

  • OSC in the Community (Toronto)

    December 03, 2015 @ 2:30 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: December 03, 2015
    Time: 2:30 PM - 3:30 PM
    Location: Sprint Senior Care, 140 Merton St., Toronto M4S 1A1
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC in the Community (Toronto)

    November 27, 2015 @ 2:30 PM - 3:15 PM

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 27, 2015
    Time: 2:30 PM - 3:15 PM
    Location: Sprint Senior Care, 140 Merton St., Toronto M4S 1A1
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Exempt market review (Session B: In-Person)

    November 25, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Exempt market review (Session B: In-Person)

    The seminar will focus on amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106). The amendments came into force on May 5, 2015 and modified certain existing prospectus exemptions and introduced new prospectus exemptions. Also, the seminar will discuss additional capital raising exemptions that are expected to come into force later this year, namely an offering memorandum exemption and a crowdfunding exemption.

     

    Date: November 25, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The seminar will focus on amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106). The amendments came into force on May 5, 2015 and modified certain existing prospectus exemptions and introduced new prospectus exemptions. Also, the seminar will discuss additional capital raising exemptions that are expected to come into force later this year, namely an offering memorandum exemption and a crowdfunding exemption.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants that deal in the exempt market. Individuals involved in capital raising, including dealing representatives at exempt market dealer firms.

    Benefits:

    • Understand the prospectus exemptions available as a result of amendments to NI 45-106
    • Gain insight into how these changes may impact compliance and oversight of exempt market distributions at your firm

    Documents:

    November 24 and 25, 2015 Sessions: Exempt market review
    Webinar video - The OSC exempt market reform initiative
  • Mineral Disclosure Best Practices

    November 25, 2015 @ 10:00 AM - 11:30 AM

    SME Institute Seminars

    Mineral Disclosure Best Practices

    This seminar will assist mining participants with improving their technical disclosure and provide an opportunity to hear directly from the regulator about common disclosure pitfalls and challenges. Findings from recent Staff Notices (CSA Staff Notice 43-309 Review of Website Investor Presentations by Mining Issuers and OSC Staff Notice 51-722 Report on a Review of Mining Issuers' Management's Discussion and Analysis and Guidance) will also be discussed. Topics covered will include:

    Date: November 25, 2015
    Time: 10:00 AM - 11:30 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will assist mining participants with improving their technical disclosure and provide an opportunity to hear directly from the regulator about common disclosure pitfalls and challenges. Findings from recent Staff Notices (CSA Staff Notice 43-309 Review of Website Investor Presentations by Mining Issuers and OSC Staff Notice 51-722 Report on a Review of Mining Issuers' Management's Discussion and Analysis and Guidance) will also be discussed. Topics covered will include:

    • Overview of NI 43-101 Standards of Disclosure for Mineral Projects
    • Common disclosure pitfalls and practical guidance
    • Technical reports and how to improve disclosure
    • MD&A best practice tips
    • Website disclosure hazards

    Who should attend:

    • CEOs or CFOs
    • Qualified persons
    • Investor relation individuals
    • Preparers of technical disclosures
    • Legal counsel

    Why You Should Attend:

    • To learn more about NI 43-101 from OSC mining experts
    • To understand what OSC staff look for when reviewing technical disclosures
    • To improve technical disclosures using practical examples

    Presentation documents:

  • Exempt market review (Session A: Webinar)

    November 24, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Exempt market review (Session A: Webinar)

    The seminar will focus on amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106). The amendments came into force on May 5, 2015 and modified certain existing prospectus exemptions and introduced new prospectus exemptions. Also, the seminar will discuss additional capital raising exemptions that are expected to come into force later this year, namely an offering memorandum exemption and a crowdfunding exemption.

    Date: November 24, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The seminar will focus on amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106). The amendments came into force on May 5, 2015 and modified certain existing prospectus exemptions and introduced new prospectus exemptions. Also, the seminar will discuss additional capital raising exemptions that are expected to come into force later this year, namely an offering memorandum exemption and a crowdfunding exemption.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants that deal in the exempt market. Individuals involved in capital raising, including dealing representatives at exempt market dealer firms.

    Benefits:

    • Understand the prospectus exemptions available as a result of amendments to NI 45-106
    • Gain insight into how these changes may impact compliance and oversight of exempt market distributions at your firm

    Documents:

    November 24 and 25, 2015 Sessions: Exempt market review
    Webinar video - The OSC exempt market reform initiative
  • OSC in the Community (Hamilton)

    November 20, 2015 @ 10:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Hamilton)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 20, 2015
    Time: 10:00 AM - 12:00 PM
    Location: Sackville Centre, 780 Upper Wentworth Street, Hamilton L9A 4V5
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC in the Community (Windsor)

    November 17, 2015 @ 11:30 AM - 1:00 PM

    OSC in the Community

    OSC in the Community (Windsor)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 17, 2015
    Time: 11:30 AM - 1:00 PM
    Location: East Side Centre, 8787 McHugh St., Windsor N8S 0A1
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC in the Community (Peterborough)

    November 13, 2015 @ 9:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Peterborough)

    Ontario Securities Commission and Competition Bureau staff will deliver seminars on fraud prevention and how to make informed purchasing decisions.

    Date: November 13, 2015
    Time: 9:00 AM - 12:00 PM
    Location: McDonnel St Activity Center, 577 McDonnel St., Peterborough K9H 2Y1
    Event Details:

    Ontario Securities Commission and Competition Bureau staff will deliver seminars on fraud prevention and how to make informed purchasing decisions.

    OSC in the Community investor seminar, entitled "Protect Your Money", covers the following topics:

    • Fraud prevention
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Competition Bureau presentation, entitled "Truth in Advertising", covers the following topics:

    • False or misleading representation
    • How much does it really cost; and
    • Making informed purchasing decisions.
  • OSC Vice-Chair Monica Kowal speaks at the Investor Recovery Conference

    October 26, 2015 @ 8:00 AM - 4:30 PM

    Speech

    OSC Vice-Chair Monica Kowal speaks at the Investor Recovery Conference

    OSC Vice-Chair Monica Kowal delivers the keynote speech, "Striving for Stronger Outcomes in Investor Protection", at the Investor Recovery Conference hosted by Osgoode Hall Law School and the Canadian Foundation for Advancement of Investor Rights (FAIR Canada).

    Date: October 26, 2015
    Time: 8:00 AM - 4:30 PM
    Location: Osgoode Hall Law School, York University, Toronto
    Event Details:

    OSC Vice-Chair Monica Kowal delivers the keynote speech, "Striving for Stronger Outcomes in Investor Protection", at the Investor Recovery Conference hosted by Osgoode Hall Law School and the Canadian Foundation for Advancement of Investor Rights (FAIR Canada).

    Click here to view →

  • Annual summary report for dealers, advisers and investment fund managers (Session B: In-Person)

    October 22, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Annual summary report for dealers, advisers and investment fund managers (Session B: In-Person)

    This seminar will highlight key policy initiatives and trends that are outlined in the Compliance and Registrant Regulation (CRR) Branch’s annual summary report that will be published in the fall of 2015. The discussion will also focus on deficiencies identified during our compliance reviews, with examples of acceptable and non-acceptable practices.

    Date: October 22, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will highlight key policy initiatives and trends that are outlined in the Compliance and Registrant Regulation (CRR) Branch’s annual summary report that will be published in the fall of 2015. The discussion will also focus on deficiencies identified during our compliance reviews, with examples of acceptable and non-acceptable practices.

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.

    Benefits:

    • Gain an awareness of the issues and projects that CRR focused on during the year, including key deficiencies identified during our compliance reviews and related best practices
    • Hear about emerging issues that may require consideration from a compliance standpoint

    Documents
  • October 20 and 22, 2015 Sessions: Annual Summary Report for Dealers, Advisers and Investment Fund Managers
  • Annual summary report for dealers, advisers and investment fund managers (Session A: Webinar)

    October 20, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Annual summary report for dealers, advisers and investment fund managers (Session A: Webinar)

    This seminar will highlight key policy initiatives and trends that are outlined in the Compliance and Registrant Regulation (CRR) Branch’s annual summary report that will be published in the fall of 2015. The discussion will also focus on deficiencies identified during our compliance reviews, with examples of acceptable and non-acceptable practices.

    Date: October 20, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will highlight key policy initiatives and trends that are outlined in the Compliance and Registrant Regulation (CRR) Branch’s annual summary report that will be published in the fall of 2015. The discussion will also focus on deficiencies identified during our compliance reviews, with examples of acceptable and non-acceptable practices.

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.

    Benefits:

    • Gain an awareness of the issues and projects that CRR focused on during the year, including key deficiencies identified during our compliance reviews and related best practices
    • Hear about emerging issues that may require consideration from a compliance standpoint

    Documents
  • October 20 and 22, 2015 Sessions: Annual Summary Report for Dealers, Advisers and Investment Fund Managers
  • OSC Dialogue 2015

    October 08, 2015 @ 8:00 AM - 3:00 PM

    Other

    OSC Dialogue 2015

    The OSC is pleased to present a day of panel discussions focused on capital market issues and trends in Canada and how they relate to the global economic and regulatory environment. Topics will span market conduct, financial stability, market liquidity and perspectives on investing in Canada and abroad.

    Date: October 08, 2015
    Time: 8:00 AM - 3:00 PM
    Location: Toronto (Four Seasons Hotel – 60 Yorkville Avenue, 3rd floor Aria Ballroom)
    Event Details:

    The OSC is pleased to present a day of panel discussions focused on capital market issues and trends in Canada and how they relate to the global economic and regulatory environment. Topics will span market conduct, financial stability, market liquidity and perspectives on investing in Canada and abroad.

    Agenda

    8:00 a.m. Registration
    9:00 a.m. Introduction
    Howard Wetston, Chair, OSC

    Audio (2.16 MB)
    Running Time: 00:09:29
    9:15 a.m. Panel 1 - Regulating Conduct: Individuals, Firms and the Market

    Moderator: Mary Condon, Commissioner, OSC

    • Greg Medcraft, Chairman, Australia Securities and Investments Commission
    • Howard Wetston, Chair, OSC
    • Martin Wheatley, Advisor to the Board, Financial Conduct Authority
    • Mary Jo White, Chair, U.S. Securities and Exchange Commission

    Audio (16.4 MB)
    Running Time: 01:11:42

    10:30 a.m. Break
    10:45 a.m. Panel 2 - Achieving Financial Stability in a Post-Crisis World

    Moderator: Grant Vingoe, Vice-Chair, OSC

    • Timothy Massad, Chairman, U.S. Commodity Futures Trading Commission
    • Steven Maijoor, Chair, European Securities and Markets Authority
    • Ryozo Himino, Vice Commissioner for International Affairs, Financial Services Agency (Japan)
    • Kevin Fine, Director, Derivatives, OSC

    Audio (13.6 MB )
    Running Time: 00:59:42

    11:45 a.m. Networking Lunch
    12:45 p.m. Panel 3 - Understanding Market Liquidity Risk and its Implications

    Moderator: Huston Loke, Director, Corporate Finance, OSC

    • John Hollyer, Global Head of Risk Management, Vanguard
    • Monica Kowal, Vice-Chair, OSC
    • Barbara Novick, Vice Chairman, BlackRock
    • David Wright, Secretary General, International Organization of Securities Commissions
    • Mark Zelmer, Deputy Superintendent, Office of the Superintendent of Financial Institutions

    Audio (13.0 MB)
    Running Time: 00:57:10

    1:45 p.m. Panel 4 - Perspectives on Investing in Canada and Abroad

    Moderator: Maureen Jensen, Executive Director & CAO, OSC

    • Bruce Flatt, CEO, Brookfield
    • David McKay, President & CEO, RBC
    • Mark Wiseman, President & CEO, CPP Investment Board

    Audio (13.0 MB)
    Running Time: 01:01:04

    3:00 p.m.

    Close

    Audio (492 KB)
    Running Time: 00:02:05



  • OSC in the Community (Stratford)

    October 06, 2015 @ 1:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Stratford)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: October 06, 2015
    Time: 1:00 PM - 3:00 PM
    Location: Kiwanis Community Centre, 111 Lakeside Drive, Stratford, ON N5A 7E2
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Women on boards roundtable

    September 29, 2015 @ 9:00 AM - 11:00 AM

    Other

    Women on boards roundtable

    Roundtable to discuss issues identified in a review of the disclosure of over 700 TSX-listed issuers with year-ends between December 31, 2014 and March 31, 2015 following the implementation of amendments to National Instrument 58-101 Disclosure of Corporate Governance Practices (the Rule Amendments). The Rule Amendments follow a “comply or explain” model and require all non-venture issues to make certain disclosures with respect to women on boards and in executive officer positions on an annual basis.

    Date: September 29, 2015
    Time: 9:00 AM - 11:00 AM
    Location: OSC, 22nd Floor, Training Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details:

    Roundtable to discuss issues identified in a review of the disclosure of over 700 TSX-listed issuers with year-ends between December 31, 2014 and March 31, 2015 following the implementation of amendments to National Instrument 58-101 Disclosure of Corporate Governance Practices (the Rule Amendments). The Rule Amendments follow a “comply or explain” model and require all non-venture issues to make certain disclosures with respect to women on boards and in executive officer positions on an annual basis.

    The event will include an overview of findings from staff’s review as well as panel discussions with commentary on the specific results and insights on how additional progress can be made. The panel discussions will reflect a diversity of views, so as to facilitate a balanced debate.

    The OSC expects to provide additional details, including the final agenda and list of panellists, no later than September 22, 2015.

    Any interested parties wishing to attend the roundtable are asked to send an email with full contact details to: womenonboards@osc.gov.on.ca. Space is limited. It is expected that a transcript will be posted to the OSC website following completion of the roundtable.

    Any media interested in attending the roundtable should contact media_inquiries@osc.gov.on.ca to register.

    Transcript

    Agenda

    Time

    Topic

    8.30 – 9.00 a.m.

    Registration

    9.00 – 9.10 a.m.

    Introduction and Opening Remarks

    Howard Wetston
    Chair, OSC

    9:10 – 9:25 a.m.

    Presentation of the Results

    Sandra Heldman
    Senior Accountant, Corporate Finance, OSC

    9:25 – 10:00 a.m.




    10:00 – 10:40 a.m.

    The Results
    Moderator:
    Maureen Jensen
    Executive Director, OSC

    A discussion on the key findings from the review and reactions to the results.




    The Pathway Forward
    Moderator:
    Monica Kowal
    Vice-Chair, OSC

    A discussion on how to achieve greater representation of women on boards and in executive officer positions.

    Panel Participants:

    Aaron Dhir
    Associate Professor, Osgoode Hall Law School

    John Dillon
    Vice President, Policy and Corporate Counsel, Canadian Council of Chief Executives

    Victor G. Dodig
    CEO, CIBC and Chair, 30% Club Canada.

    Pamela Jeffery
    Founder, Women’s Executive Network and Founder, Canadian Board Diversity Council

    Alex Johnston
    Executive Director, Catalyst Canada

    Fiona Macfarlane
    Managing Partner, Vancouver and Western Canada and Chief Inclusiveness Officer, Ernst & Young LLP

    Katherine Rabin
    CEO, Glass, Lewis & Co

    Kathleen Taylor
    Chair of the Board, Royal Bank of Canada

    10:40 – 10:55 a.m.

    Questions and Answers

    Moderator:
    Huston Loke
    Director, Corporate Finance, OSC

    10:55 – 11:00 a.m.

    Concluding Remarks

    Howard Wetston

  • Participation fees calculation (Session B: In-Person)

    September 17, 2015 @ 2:00 PM - 3:00 PM

    Registrant Outreach Seminars

    Participation fees calculation (Session B: In-Person)

    This mini-seminar will give registrants and unregistered capital markets participants a refresher on the calculation and filing of the participation fees, in advance of the December 1, 2015 filing deadline. Staff will discuss key issues and provide examples of common errors related to the calculation and filing of the participation fees. The seminar will also highlight the changes to OSC Rule 13-502 Fees that are applicable to registrants and unregistered capital markets participants, which came into effect on April 6, 2015.

    Date: September 17, 2015
    Time: 2:00 PM - 3:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This mini-seminar will give registrants and unregistered capital markets participants a refresher on the calculation and filing of the participation fees, in advance of the December 1, 2015 filing deadline. Staff will discuss key issues and provide examples of common errors related to the calculation and filing of the participation fees. The seminar will also highlight the changes to OSC Rule 13-502 Fees that are applicable to registrants and unregistered capital markets participants, which came into effect on April 6, 2015.

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.

    Benefits:

    • Understand the calculation of participation fees
    • Awareness of the amendments to OSC Rule 13-502 that have come into effect since the prior year’s calculation

    Presentation Materials:


  • Participation fees calculation (Session A: Webinar)

    September 15, 2015 @ 2:00 PM - 3:00 PM

    Registrant Outreach Seminars

    Participation fees calculation (Session A: Webinar)

    This mini-seminar will give registrants and unregistered capital markets participants a refresher on the calculation and filing of the participation fees, in advance of the December 1, 2015 filing deadline. Staff will discuss key issues and provide examples of common errors related to the calculation and filing of the participation fees. The seminar will also highlight the changes to OSC Rule 13-502 Fees that are applicable to registrants and unregistered capital markets participants, which came into effect on April 6, 2015.

    Date: September 15, 2015
    Time: 2:00 PM - 3:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This mini-seminar will give registrants and unregistered capital markets participants a refresher on the calculation and filing of the participation fees, in advance of the December 1, 2015 filing deadline. Staff will discuss key issues and provide examples of common errors related to the calculation and filing of the participation fees. The seminar will also highlight the changes to OSC Rule 13-502 Fees that are applicable to registrants and unregistered capital markets participants, which came into effect on April 6, 2015.

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.

    Benefits:

    • Understand the calculation of participation fees
    • Awareness of the amendments to OSC Rule 13-502 that have come into effect since the prior year’s calculation

    Presentation Materials:


  • OSC in the Community (CARP Mississauga)

    September 14, 2015 @ 7:00 PM - 9:00 PM

    OSC in the Community

    OSC in the Community (CARP Mississauga)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: September 14, 2015
    Time: 7:00 PM - 9:00 PM
    Location: AMICA at Erin Mills, 4620 Kimbermount Ave., Mississauga L5M 5W5
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Venture issuer regulation - adoption of amendments to NI 51-102, NI 41-101, and NI 52-110

    July 09, 2015 @ 10:30 AM - 11:30 AM

    SME Institute Seminars

    Venture issuer regulation - adoption of Amendments to NI 51-102, NI 41-101, and NI 52-110

    This seminar will introduce the recent amendments to the regulatory requirements for venture issuers.

    Date: July 09, 2015
    Time: 10:30 AM - 11:30 AM
    Location: OSC, 22nd Flr Meeting Room, Toronto, Ontario, M5H 3S8
    Event Details:

    This seminar will introduce the recent amendments to the regulatory requirements for venture issuers. Topics discussed will include:

    • The motivation for the amendments
    • What is changing:
      • MD&A
      • Business acquisition reporting
      • Prospectus disclosure
      • Executive compensation disclosure
      • Audit committee requirements
    • Expectations under the new requirements

    The goal of the seminar is to help issuers, advisors, and investors better understand the new rules for venture issuers.

    Who should attend:

    • Venture issuers
    • Advisors
    • Investors

    Why you should attend:

    • To learn more about the new rules for venture issuers
    • To understand expectations under the new rules

    Presentation documents


  • Elements of an effective compliance system (Session B: In-Person)

    June 25, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Elements of an effective compliance system

    The seminar will focus on key aspects of the policies and procedures manual and ensuring they have been implemented effectively. Also, the seminar will discuss the role and responsibilities of the ultimate designated person and chief compliance officer, including the annual report to the Board, and also touch on emerging issues that compliance staff should consider when designing or enhancing their compliance systems.

    Date: June 25, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details:

    The seminar will focus on key aspects of the policies and procedures manual and ensuring they have been implemented effectively. Also, the seminar will discuss the role and responsibilities of the ultimate designated person and chief compliance officer, including the annual report to the Board, and also touch on emerging issues that compliance staff should consider when designing or enhancing their compliance systems.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.

    Benefits:

    • Gain insight into expectations on the policies and procedures manual and the role of the compliance officer, including the requirement of the compliance officer to report to the Board
    • Hear about emerging issues that may require consideration from a compliance standpoint, and the associated regulatory expectations

    Presentation Material


    Register
  • Elements of an effective compliance system (Session A: Webinar)

    June 23, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Elements of an effective compliance system

    The seminar will focus on key aspects of the policies and procedures manual and ensuring they have been implemented effectively. Also, the seminar will discuss the role and responsibilities of the ultimate designated person and chief compliance officer, including the annual report to the Board, and also touch on emerging issues that compliance staff should consider when designing or enhancing their compliance systems.

    Date: June 23, 2015
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    The seminar will focus on key aspects of the policies and procedures manual and ensuring they have been implemented effectively. Also, the seminar will discuss the role and responsibilities of the ultimate designated person and chief compliance officer, including the annual report to the Board, and also touch on emerging issues that compliance staff should consider when designing or enhancing their compliance systems.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.

    Benefits:

    • Gain insight into expectations on the policies and procedures manual and the role of the compliance officer, including the requirement of the compliance officer to report to the Board
    • Hear about emerging issues that may require consideration from a compliance standpoint, and the associated regulatory expectations

    Presentation Material


    Register
  • OSC in the Community (Woodbridge)

    June 18, 2015 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Woodbridge)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: June 18, 2015
    Time: 2:00 PM - 3:30 PM
    Location: Woodbridge Public Library,150 Woodbridge Avenue,Vaughan, Ontario L4L 2S7
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC Chair Howard Wetston speaks on panel at the IOSCO Conference

    June 17, 2015

    Other

    OSC Chair Howard Wetston participates on an Understanding behaviour of firms and companies panel at the IOSCO Conference

    The public conference will be a dynamic combination of keynote speeches, Q&A’s and four panel sessions. The public conference is attended by members of IOSCO and non-members from the financial world and specialised industry sectors. There will be an opening ceremony, keynote speeches and a series of public-discussion panels on topical issues with national and international senior specialists from relevant industry sectors, regulators and the academia.

    Date: June 17, 2015
    Time: 12:00 AM - 12:00 AM
    Location: The QEII Conference Centre, Broad Sanctuary, Westminster, London SW1P 3EE
    Event Details:

    The public conference will be a dynamic combination of keynote speeches, Q&A’s and four panel sessions. The public conference is attended by members of IOSCO and non-members from the financial world and specialised industry sectors. There will be an opening ceremony, keynote speeches and a series of public-discussion panels on topical issues with national and international senior specialists from relevant industry sectors, regulators and the academia.

    3:40PM - 5:10PM

    Panel 1: Understanding behaviour of firms and consumers

    • Behavioural economics increasingly informs our understanding of human decision-making, including that of consumers and firms.
    • How are behavioural insights applied to improve regulatory policy? What other behavioural techniques can regulators use to support confident and informed decision-making by retail investors? How can these techniques be tested? And what are the limits of behavioural interventions when it comes to the regulation of firms and individuals?
    • Reflecting on real case studies, this panel session will explore what regulators have done, can do, and are doing, to help consumers make better decisions and address behavioural issues in the industry.
      Moderator: Linda Yueh, Fellow in Economics, St Edmund Hall, Oxford University
     

    Panellists:

    • Greg Davies, Managing Director and Head of Behavioural-Quant Finance, Barclays
    • Theodor Kockelkoren, Netherlands Authority for Financial Markets (AFM) Executive Board and Chair of the Organisation for Economic Cooperation and Development Task Force on Financial Consumer Protection
    • David Tuckett, Director of the Centre for the Study of Decision- Making Uncertainty, University College London
    • Howard Wetston QC, Chair and Chief Executive Officer, Ontario Securities Commission
    • Christopher Woolard, Director of Strategy and Competition, Financial Conduct Authority (FCA), UK

    View full agenda[Source: IOSCO]

    Register
  • OSC in the Community (Hamilton)

    June 17, 2015

    OSC in the Community

    OSC in the Community (Hamilton)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: June 17, 2015
    Time: -
    Location: Hamilton, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC Vice-Chair Monica Kowal speaks on panel at C.D. Howe Institute

    June 17, 2015 @ 9:00 AM - 3:00 PM

    Speech

    OSC Vice-Chair Monica Koowel speaks on panel at C.D. Howe Institute

    Monica Kowal speaks on the role of Securities Regulators in Systemic Risk Regulation and the important work underway at the OSC on OTC Derivatives Regulation and the new proposed federal Capital Markets Stability Act.

    Date: June 17, 2015
    Time: 9:00 AM - 3:00 PM
    Location: C.D. Howe Institute, 67 Yonge Street, Suite 300
    Event Details:

    Conference speakers include:

    • Keynote Speaker: Jeremy Rudin, Superintendent, Office of the Superintendent of Financial Institutions
    • Chris Catliff, President & Chief Executive Officer, BlueShore Financial
    • David Dodge, Former Governor, Bank of Canada, and Chair of the C.D. Howe Institute’s National Council
    • Denis Dubois, EVP and Chief Integration Officer, Desjardins General Insurance Group
    • Michael Fortin, Senior Vice President, Group Benefits and Retirement Solutions, Institutional Markets, Manulife
    • Sheryl Kennedy, Chief Executive Officer, Promontory Canada
    • Michael King, Assistant Professor, Finance Education, Ivey Business School
    • Monica Kowal, Vice-Chair, Ontario Securities Commission
    • Jim MacGee, Associate Professor, Department of Economics, University of Western Ontario
    • Neil Parkinson, Partner, Audit National Leader, Insurance Sector, KPMG
    • Wendy Rudd, Senior Vice President, Market Regulation and Policy, Investment Industry Regulatory Organization of Canada
    • James Salem, Group Treasurer and Executive Vice President, Royal Bank of Canada
    • Rapporteur: Craig Alexander, Senior Vice President and Chief Economist, TD Bank Group, and incoming Vice President, Economic Analysis, C.D. Howe Institute

    [Source: C.D. Howe Institute]
  • OSC Chair Howard Wetston speaks at the Canadian Coalition for Good Governance

    June 10, 2015 @ 12:00 PM - 1:15 PM

    Speech

    OSC Chair Howard Wetston speaks at the Canadian Coalition for Good Governance

    Howard Wetston speaks at the Annual Public Meeting of the Canadian Coalition for Good Governance.

    Date: June 10, 2015
    Time: 12:00 PM - 1:15 PM
    Location: McMillan LLP, 181 Bay Street, 44th Floor, Brookfield Place, Toronto
    Event Details:

    Howard Wetston speaks at the Annual Public Meeting of the Canadian Coalition for Good Governance.

    Remarks to the Canadian Coalition of Good Governance - “The Role of Shareholders in Addressing the Governance Challenges of Today’s Capital Markets”

    Click here to view 

  • OSC whistleblower roundtable

    June 09, 2015 @ 8:30 AM - 12:00 PM

    Other

    OSC whistleblower roundtable

    A roundtable to further explore the issues raised in OSC Staff Consultation Paper 15-401, which proposed a new whistleblower program to encourage the reporting of serious misconduct of Ontario securities law to the OSC. The program would be the first of its kind for securities regulators in Canada.

    Date: June 09, 2015
    Time: 8:30 AM - 12:00 PM
    Location: OSC, 22nd Floor, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The OSC announced in April that it will hold a roundtable to further explore the issues raised in OSC Staff Consultation Paper 15-401, which proposed a new whistleblower program to encourage the reporting of serious misconduct of Ontario securities law to the OSC. The program would be the first of its kind for securities regulators in Canada.

    The event featured panel discussions reflecting the viewpoints of investors, market participants, members of the securities litigation bar and other stakeholders. Specific themes included: effectiveness of whistleblower programs, whistleblower protections and the impact of a whistleblower program on internal compliance systems


    Transcript

    Agenda

    8.30 – 9.00 a.m. Arrival/Check-in
    9.00 – 9.15 a.m. Introduction and Opening Remarks

    Moderator: Mary Condon (OSC Commissioner)
    9.15 – 10.00 a.m. Topic 1: Effectiveness of Whistleblower Programs

    Moderator: Mary Condon (OSC Commissioner)

    Panel:
    Marian Passmore (Canadian Foundation for Advancement of Investor Rights)
    John Pecman (Competition Bureau)
    Dimitri Lascaris (Siskinds LLP)
    Jane Norberg (U.S. Securities & Exchange Commission)
    10.00 – 10.45 a.m. Topic 2: Whistleblower Protections - Anti-Retaliation Measures and Whistleblower Confidentiality
    Moderator: Alan Lenczner (OSC Commissioner)

    Panel:
    Connie Craddock (OSC Investor Advisory Panel)
    Daniel Pugen (McCarthy Tétrault)
    David Hausman (Fasken Martineau)
    Jordan Thomas (Labaton Sucharow LLP)
    10.45 – 11.00 a.m. Break
    11.00 – 11.45 a.m. Topic 3: Impact of an OSC Whistleblower Program on Internal Compliance Systems

    Moderator: Tim Moseley (OSC Commissioner)

    Panel:
    Megan Telford (TD Bank Group)
    Sheila A. Murray (CI Financial Corp.)
    Linda Fuerst (Lenczner Slaght)
    Christine Wiedman (University of Waterloo)

    11.45 – 12.00 p.m. Closing
  • OSC Chair Howard Wetston speaks at the C.D. Howe Institute's Annual Directors' Dinner

    May 27, 2015 @ 6:00 PM - 10:00 PM

    Speech

    OSC Chair Howard Wetston to speak at the C.D. Howe Institute's Annual Directors' Dinner

    Howard Wetston will talk to the group about the challenges he has faced as the regulator of Canada's largest capital markets as well as discuss the road ahead.

    Date: May 27, 2015
    Time: 6:00 PM - 10:00 PM
    Location: The King Edward Hotel, 47 King Street East, Toronto, Ontario
    Event Details:

    [Source: C.D. Howe Institute] The Institute's annual Directors' Dinner is a premier event for discussion of major policy issues among Canadian business and thought leaders. This year's event also recognizes an outstanding policymaker: Howard Wetston, who has been at the helm of the OSC since 2010. Howard will talk to the group about the challenges he has faced as the regulator of Canada's largest capital markets as well as discuss the road ahead. Register early to ensure you do not miss out.


    [Source: C.D. Howe Institute]

  • OSC Chair Howard Wetston speaks at IIAC/SIFMA - Canada-US Securities Summit, New York

    May 13, 2015 @ 8:00 AM - 1:15 PM

    Speech

    OSC Chair Howard Wetston to speak at IIAC/SIFMA - Canada-US Securities Summit, New York

    OSC Chair Howard Wetston speaks at IIAC/SIFMA - Canada-US Securities Summit, New York

    Date: May 13, 2015
    Time: 8:00 AM - 1:15 PM
    Location: SIFMA Conference Center, 120 Broadway, 2nd Floor, New York, NY 10271
    Event Details:

    [Source: SIFMA] The U.S.-Canadian economic relationship is vast. Canada is the top export destination for 35 U.S. states - nearly 9 million U.S. jobs depend on trade and investment with Canada - and 400,000 people cross the Canada-U.S. border daily. This summit will discuss the engine that fuels this activity, the U.S. and Canadian financial markets.

    Program topics include:

    • Canada's Cooperative Capital Markets Regulatory System
    • Cross Border Implications of the Volcker Rule
    • Investment Trends in the Energy Sector
    • Other regulatory developments in the U.S. and Canada that impact cross-border investment.

    [Source: SIFMA]

    Learn more →
  • Implementation of Client Relationship Model 2 (Session B: In-Person)

    April 23, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Implementation of Client Relationship Model 2

    As a follow up to the November 2013 session on CRM2, this seminar will discuss the upcoming July 2015 and 2016 implementation dates for the CRM2 requirements on performance reporting and cost disclosure requirements, recap key provisions already in force and discuss the regulatory expectations.

    Date: April 23, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    As a follow up to the November 2013 session on CRM2, this seminar will discuss the upcoming July 2015 and 2016 implementation dates for the CRM2 requirements on performance reporting and cost disclosure requirements, recap key provisions already in force and discuss the regulatory expectations.

    Who should attend:

    Registered representatives, chief compliance officers and ultimate designated persons of registrant firms.

    Benefits:

    • Gain an awareness of the upcoming roll out period and what we expect will be happening during this time
    • Discuss how you and your firm may implement next stages of CRM2

    Presentation materials:

  • Implementation of Client Relationship Model 2 (Session A: Webinar)

    April 21, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Implementation of Client Relationship Model 2

    As a follow up to the November 2013 session on CRM2, this seminar will discuss the upcoming July 2015 and 2016 implementation dates for the CRM2 requirements on performance reporting and cost disclosure requirements, recap key provisions already in force and discuss the regulatory expectations.

    Date: April 21, 2015
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    As a follow up to the November 2013 session on CRM2, this seminar will discuss the upcoming July 2015 and 2016 implementation dates for the CRM2 requirements on performance reporting and cost disclosure requirements, recap key provisions already in force and discuss the regulatory expectations.

    Who should attend:

    Registered representatives, chief compliance officers and ultimate designated persons of registrant firms.

    Benefits:

    • Gain an awareness of the upcoming roll out period and what we expect will be happening during this time
    • Discuss how you and your firm may implement next stages of CRM2

    Presentation materials:

  • OSC Chair Howard Wetston speaks at Rotman School of Management

    March 31, 2015 @ 5:00 PM - 6:00 AM

    Other

    OSC Chair Howard Wetston to speak at Rotman School of Management

    Howard Wetston, Chair and CEO, Ontario Securities Commission in conversation with Howard Green, Author and Broadcaster

    Date: March 31, 2015
    Time: 5:00 PM - 6:00 AM
    Location: University of Toronto, Desautels Hall, Rotman School of Management, 105 St George Street, Toronto, Ontario
    Event Details:

    Topic: The Post-Crisis Role of a Market Regulator

  • OSC in the Community (Burlington)

    March 02, 2015

    OSC in the Community

    OSC in the Community (Burlington)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: March 02, 2015
    Time: -
    Location: Burlington, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

  • OSC in the Community (Kitchener-Waterloo)

    February 23, 2015

    OSC in the Community

    OSC in the Community (Kitchener-Waterloo)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: February 23, 2015
    Time: -
    Location: Kitchener-Waterloo, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Calculating participation fees

    February 11, 2015 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Calculating Participation Fees

    Staff will discuss key issues relating to the calculation and filing of the participation fees. There will also be a discussion on the proposed changes to OSC Rule 13-502 Fees. This seminar is designed to assist issuers with the calculation of participation fees under OSC Rule 13-502 Fees.

    Date: February 11, 2015
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Meeting Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details:

    Staff will discuss key issues relating to the calculation and filing of the participation fees. There will also be a discussion on the proposed changes to OSC Rule 13-502 Fees. This seminar is designed to assist issuers with the calculation of participation fees under OSC Rule 13-502 Fees.

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F1, OSC Form 13-502F2, OSC Form 13-502F2A, OSC Form 13-502F3A, OSC Form 13-502F3B, and OSC Form 13-502F3C

    Why you should attend:

    • To learn more about OSC Rule 13-502
    • To understand what OSC staff look for when reviewing the fee forms

    Presentation documents: Slides: Calculating Participation Fees

  • Ongoing amendments to National Instrument 31-103 (Session B: In-Person)

    February 05, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Ongoing amendments to National Instrument 31-103

    This seminar will provide an overview of the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) which were published October 16, 2014 and come into force on January 11, 2015.

    Date: February 05, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details:

    This seminar will provide an overview of the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) which were published October 16, 2014 and come into force on January 11, 2015. The amendments include substantive changes and also technical adjustments to codify certain exemption orders, clarify the legislative intent of NI 31-103 and provide further guidance as necessary where ambiguities existed.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.

    Benefits:

    • Understand the amendments to NI 31-103
    • Enhance compliance with requirements under NI 31-103 and where impacted, NI 33-109 Registration Information

    Presentation materials:

    February 4 and 5, 2015 Sessions: Amendments to National Instrument 31-103

  • Ongoing amendments to National Instrument 31-103 (Session A: Webinar)

    February 04, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Ongoing amendments to National Instrument 31-103

    This seminar will provide an overview of the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) which were published October 16, 2014 and come into force on January 11, 2015.

    Date: February 04, 2015
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    This seminar will provide an overview of the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) which were published October 16, 2014 and come into force on January 11, 2015. The amendments include substantive changes and also technical adjustments to codify certain exemption orders, clarify the legislative intent of NI 31-103 and provide further guidance as necessary where ambiguities existed.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.

    Benefits:

    • Understand the amendments to NI 31-103
    • Enhance compliance with requirements under NI 31-103 and where impacted, NI 33-109 Registration Information

    Presentation materials:

    February 4 and 5, 2015 Sessions: Amendments to National Instrument 31-103

  • Raising money in the capital markets

    January 21, 2015 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Raising money in the capital markets

    The seminar will discuss securities regulatory issues for small and medium sized companies looking to raise capital in the public and private markets. We will examine key requirements for both public offerings and private placements

    Date: January 21, 2015
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Meeting Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details:

    Who should attend:

    • CEOs & CFOs
    • Directors
    • Legal counsel and other advisors

    Why you should attend:

    To learn the options available for raising money in Ontario's capital markets To obtain guidance on the specific process and requirements for raising capital and to understand the roles of the parties involved in the process To understand the differences between public versus private financing options Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

    Presentation documents: Slides: Raising Money in the Capital Markets

  • Continuous disclosure obligations

    December 10, 2014 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Continuous Disclosure Obligations

    This seminar will include the review of obligations under NI 51-102, including MD&A observations, material change reporting, related party transactions, information on emerging market issues and other relevant topics.

    Date: December 10, 2014
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will include the review of obligations under NI 51-102, including MD&A observations, material change reporting, related party transactions, information on emerging market issues and other relevant topics.

    Who should attend:

    • CFOs
    • Advisors to companies
    • Preparers of financial statements
    • In-house or external legal counsel

    Why You Should Attend:

    • To understand the important ongoing securities requirements
    • To be aware of common filing deficiencies so you can avoid them
    • To hear directly from OSC staff best practices for working with the OSC on ongoing filing issues
    • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

    Presentation slides:Slides: Continuous Disclosure Obligations

     

  • OSC in the Community (Whitby)

    November 25, 2014

    OSC in the Community

    OSC in the Community (Whitby)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 25, 2014
    Time: -
    Location: Whitby, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

  • OSC in the Community (Windsor)

    November 24, 2014

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 24, 2014
    Time: -
    Location: Windsor, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

  • Mineral disclosure best practices

    November 12, 2014 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Mineral Disclosure Best Practices

    This seminar is designed to assist mining participants with improving their public technical disclosure and to provide an opportunity to hear directly from the regulator about common disclosure pitfalls and challenges through the use of case studies and examples of good disclosure practices and guidance.

    Date: November 12, 2014
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar is designed to assist mining participants with improving their public technical disclosure and to provide an opportunity to hear directly from the regulator about common disclosure pitfalls and challenges through the use of case studies and examples of good disclosure practices and guidance. Findings from recent OSC Staff Notices (OSC Staff Notice 43-705 on technical reports and OSC Staff Notice 51-722 on MD&A) will be discussed as well as an overview of website disclosure, use of social media, and tips on prospectus filings. Topics covered will include:

    • Overview of NI 43-101
    • Common disclosure pitfalls and practical guidance
    • Technical reports and how to improve disclosure
    • MD&A best practice tips
    • Website technical disclosure hazards
    • Prospectus filings and technical reporting

    The goal of the seminar is to help mining issuers avoid the common pitfalls and hazards and improve their public technical disclosure.


    Presentation slides:Slides: Mineral Disclosure Best Practices

     

  • Participation fees calculation (Session B: In-Person)

    November 06, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Participation fees calculation

    Staff will discuss key issues and common errors related to the calculation and filing of the participation fees. There will also be discussion of the findings from the 2013 desk review of participation fees calculations and a discussion on the proposed changes to OSC Rule 13-502 Fees.

    Date: November 06, 2014
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    Staff will discuss key issues and common errors related to the calculation and filing of the participation fees. There will also be discussion of the findings from the 2013 desk review of participation fees calculations and a discussion on the proposed changes to OSC Rule 13-502 Fees

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.

    Benefits:

    • Understand the common errors made in the participation fee filings and those identified during the 2013 desk review of a sample of firms’ participation fees
    • Gain an awareness of OSC proposed changes to the Fees Rule

    Presentation materials:

    Slides: Participation Fees Calculation

  • Participation fees calculation (Session A: Webinar)

    November 04, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Participation fees calculation

    Staff will discuss key issues and common errors related to the calculation and filing of the participation fees. There will also be discussion of the findings from the 2013 desk review of participation fees calculations and a discussion on the proposed changes to OSC Rule 13-502 Fees.

    Date: November 04, 2014
    Time: 2:00 PM - 4:00 PM
    Location: Online Webinar
    Event Details:

    Staff will discuss key issues and common errors related to the calculation and filing of the participation fees. There will also be discussion of the findings from the 2013 desk review of participation fees calculations and a discussion on the proposed changes to OSC Rule 13-502 Fees

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.

    Benefits:

    • Understand the common errors made in the participation fee filings and those identified during the 2013 desk review of a sample of firms’ participation fees
    • Gain an awareness of OSC proposed changes to the Fees Rule

    Presentation materials:

    Slides: Participation Fees Calculation

  • OSC in the Community (Toronto)

    October 29, 2014

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: October 29, 2014
    Time: -
    Location: Toronto, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC Dialogue 2014

    October 16, 2014 @ 8:30 AM - 3:00 PM

    Other

    OSC Dialogue 2014

    Each year OSC Dialogue brings hundreds of market participants together on issues and trends facing the capital markets. Discussing where we are and where the markets are going is critical to ensuring a strong and healthy regulatory system.

    Date: October 16, 2014
    Time: 8:30 AM - 3:00 PM
    Location: Toronto, Ontario
    Event Details:

    Each year OSC Dialogue brings hundreds of market participants together on issues and trends facing the capital markets. Discussing where we are and where the markets are going is critical to ensuring a strong and healthy regulatory system.

    Agenda

    8:30 a.m. Registration
    9:00 a.m. Welcome Christopher Portner

    Audio (5.47 MB)
    Running Time: 00:05:58
    9:15 a.m. Plenary Session One
    Corporate Governance and the Value of Shareholder Activism

    Moderator: Howard Wetston, OSC

    Panel:
    Bill Ackman, Pershing Square Capital Management
    Sharon Geraghty, Torys LLP
    Roberta Karmel, Brooklyn Law School

    Audio (17.1 MB)
    Running Time: 01:14:48

    10:30 a.m. Break
    10:45 a.m. Plenary Session Two
    Investors and Innovation in Products and Distribution

    Moderator: Som Seif, Purpose Investments

    Panel:
    Howard Atkinson, Horizons ETF
    Rhonda Goldberg, OSC
    Peter Intraligi, Invesco
    James Norris, Vanguard

    Audio (16.6 MB)
    Running Time: 01:12:44
    12:00 p.m. Networking Lunch

    1:00 p.m. Lunch Keynote
    Conversation with the SEC

    Mary Jo White, SEC
    Howard Wetston, OSC

    Audio (11.9 MB)
    Running Time: 00:52:11

    1:45 p.m. Plenary Session Three
    Regulating for Investors in a Technological Age

    Moderator: Maureen Jensen, OSC

    Panel:
    Kevan Cowan, TMX Group
    Richard Ketchum, FINRA
    Dave Lauer, KOR Group
    Tom C.W. Lin, Temple University
    Doug Steiner, BEworks

    Audio (16.0 MB)
    Running Time: 01:10:12

    3:00 p.m. Conclusion
  • Complaint handling and the Ombudsman for Banking Services and Investments process (Session B: In-Person)

    October 09, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Complaint handling and the Ombudsman for Banking Services and Investments process

    Representatives from the Ombudsman for Banking Services and Investments (OBSI) will describe the organization, the complaints handling process and other relevant information that dealers and advisers should be aware of as new members of OBSI.

    Date: October 09, 2014
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    Representatives from the Ombudsman for Banking Services and Investments (OBSI) will describe the organization, the complaints handling process and other relevant information that dealers and advisers should be aware of as new members of OBSI. We will also describe the expectations of the OSC in handling client complaints and making clients aware of the use of OBSI for dispute resolution.

    Who should attend:

    Individuals responsible for the complaint handling process and those who will liaise with OBSI in the event of an eligible complaint.

    Benefits:

    • Understand the new CSA mandated requirement to join OBSI and learn about that organization
    • Gain an awareness of expectations on client communications regarding complaints

    Presentation materials:

    Slides: Complaint handling and the Ombudsman for Banking Services and Investments process

  • Complaint handling and the Ombudsman for Banking Services and Investments process (Session A: Webinar)

    October 07, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Complaint handling and the Ombudsman for Banking Services and Investments process

    Representatives from the Ombudsman for Banking Services and Investments (OBSI) will describe the organization, the complaints handling process and other relevant information that dealers and advisers should be aware of as new members of OBSI.

    Date: October 07, 2014
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    Representatives from the Ombudsman for Banking Services and Investments (OBSI) will describe the organization, the complaints handling process and other relevant information that dealers and advisers should be aware of as new members of OBSI. We will also describe the expectations of the OSC in handling client complaints and making clients aware of the use of OBSI for dispute resolution.

    Who should attend:

    Individuals responsible for the complaint handling process and those who will liaise with OBSI in the event of an eligible complaint.

    Benefits:

    • Understand the new CSA mandated requirement to join OBSI and learn about that organization
    • Gain an awareness of expectations on client communications regarding complaints

    Presentation materials:

    Slides: Complaint handling and the Ombudsman for Banking Services and Investments process

  • OSC in the Community (Kitchener-Waterloo)

    September 22, 2014

    OSC in the Community

    OSC in the Community (Kitchener-Waterloo)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: September 22, 2014
    Time: -
    Location: Kitchener-Waterloo, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC in the Community (Ottawa)

    September 15, 2014

    OSC in the Community

    OSC in the Community (Ottawa)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: September 15, 2014
    Time: -
    Location: Ottawa, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Registrant series – investment fund managers (Session B: In-Person)

    June 26, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Registrant series – Investment fund managers

    Staff from the investment fund manager (IFM) team will discuss common deficiencies noted during IFM compliance reviews and/or recent sweeps and provide guidance in key areas. Updates on branch initiatives that impact IFMs will also be provided.

    Date: June 26, 2014
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    Staff from the investment fund manager (IFM) team will discuss common deficiencies noted during IFM compliance reviews and/or recent sweeps and provide guidance in key areas. Updates on branch initiatives that impact IFMs will also be provided. The Investment Funds branch will provide an update on the status of ongoing policy initiatives affecting investment funds.

    Who should attend:

    Chief compliance officers and ultimate designated persons of IFMs

    Benefits:

    • Understand the issues that are unique to IFMs
    • Gain an awareness of OSC initiatives that affect IFM operations
    • Hear about common deficiencies identified during compliance reviews and related best practices

    Presentation materials:

    Slides: Outreach Session for Investment Fund Managers

  • Registrant series – investment fund managers (Session A: Webinar)

    June 24, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Registrant series – Investment fund managers

    Staff from the investment fund manager (IFM) team will discuss common deficiencies noted during IFM compliance reviews and/or recent sweeps and provide guidance in key areas. Updates on branch initiatives that impact IFMs will also be provided.

    Date: June 24, 2014
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    Staff from the investment fund manager (IFM) team will discuss common deficiencies noted during IFM compliance reviews and/or recent sweeps and provide guidance in key areas. Updates on branch initiatives that impact IFMs will also be provided. The Investment Funds branch will provide an update on the status of ongoing policy initiatives affecting investment funds.

    Who should attend:

    Chief compliance officers and ultimate designated persons of IFMs

    Benefits:

    • Understand the issues that are unique to IFMs
    • Gain an awareness of OSC initiatives that affect IFM operations
    • Hear about common deficiencies identified during compliance reviews and related best practices

    Presentation materials:

    Slides: Outreach Session for Investment Fund Managers

  • OSC in the Community (Sault Ste. Marie, Ontario)

    June 23, 2014

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: June 23, 2014
    Time: 6:30 PM - 8:00 PM
    Location: Sault Ste. Marie, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC Chair Howard Wetston speaks at the Private Capital Markets Association Annual Conference

    June 02, 2014

    Speech

    Speech to the Private Capital Markets Association Annual Conference: The Honourable Howard Wetston, Q.C., Chair, Ontario Securities Commission

    The Honourable Howard Wetston, Q.C., Chair, Ontario Securities Commission speaks at the Private Capital Markets Association Annual Conference (PCMA) about Capital Formation in Ontario.

    Date: June 02, 2014
    Time: 12:00 AM - 12:00 AM
    Location: The Toronto Region Board of Trade, 77 Adelaide St W., Toronto, Ontario
    Event Details:

    Topic: Capital Formation in Ontario

    Click here to view →

  • Registrant series - portfolio managers (Session B: In-Person)

    May 22, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: Webinar - Registrant series - Portfolio managers

    Staff from the portfolio manager team will discuss key issues relating to advisers and the associated regulatory concerns. There will also be discussion of common adviser deficiencies noted during compliance reviews and ongoing OSC initiatives that impact advisers.

    Date: May 22, 2014
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    Staff from the portfolio manager team will discuss key issues relating to advisers and the associated regulatory concerns. There will also be discussion of common adviser deficiencies noted during compliance reviews and ongoing OSC initiatives that impact advisers.

    Who should attend:

    Advising representatives and chief compliance officers and ultimate designated persons of portfolio manager firms.

    Benefits:

    • Understand the issues that are unique or prevalent to the portfolio manager registration category
    • Gain an awareness of OSC policy initiatives that affect operations of advisers
    • Hear about common deficiencies identified during compliance reviews and related best practices

    Presentation materials:

    Slides: Portfolio Managers

  • Registrant series - portfolio managers (Session A: Webinar)

    May 20, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Registrant series - Portfolio managers

    Staff from the portfolio manager team will discuss key issues relating to advisers and the associated regulatory concerns. There will also be discussion of common adviser deficiencies noted during compliance reviews and ongoing OSC initiatives that impact advisers.

    Date: May 20, 2014
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    Staff from the portfolio manager team will discuss key issues relating to advisers and the associated regulatory concerns. There will also be discussion of common adviser deficiencies noted during compliance reviews and ongoing OSC initiatives that impact advisers.

    Who should attend:

    Advising representatives and chief compliance officers and ultimate designated persons of portfolio manager firms.

    Benefits:

    • Understand the issues that are unique or prevalent to the portfolio manager registration category
    • Gain an awareness of OSC policy initiatives that affect operations of advisers
    • Hear about common deficiencies identified during compliance reviews and related best practices

    Presentation materials:

    Slides: Portfolio Managers

  • Registrant series - exempt market dealers (Session B: In-Person)

    April 24, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Registrant series - Exempt market dealers

    Staff from the exempt market dealer (EMD) team will discuss key issues relating to EMD operations and the associated regulatory concerns. There will also be discussion of common EMD deficiencies noted during compliance reviews and ongoing OSC initiatives that impact EMDs.

    Date: April 24, 2014
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    Staff from the exempt market dealer (EMD) team will discuss key issues relating to EMD operations and the associated regulatory concerns. There will also be discussion of common EMD deficiencies noted during compliance reviews and ongoing OSC initiatives that impact EMDs.

    Who should attend:

    Dealing representatives and chief compliance officers and ultimate designated persons of EMD firms.

    Benefits:

    • Understand the issues that are unique or prevalent to the EMD registration category
    • Gain an awareness of OSC policy initiatives that affect operations of EMDs
    • Hear about common deficiencies identified during EMD compliance reviews and related best practices

    Presentation materials:

    Slides: Exempt market dealers

  • Registrant series – exempt market dealers (Session A: Webinar)

    April 22, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Registrant series – Exempt market dealers

    Staff from the exempt market dealer (EMD) team will discuss key issues relating to EMD operations and the associated regulatory concerns. There will also be discussion of common EMD deficiencies noted during compliance reviews and ongoing OSC initiatives that impact EMDs.

    Date: April 22, 2014
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    Staff from the exempt market dealer (EMD) team will discuss key issues relating to EMD operations and the associated regulatory concerns. There will also be discussion of common EMD deficiencies noted during compliance reviews and ongoing OSC initiatives that impact EMDs.

    Who should attend:

    Dealing representatives and chief compliance officers and ultimate designated persons of EMD firms.

    Benefits:

    • Understand the issues that are unique or prevalent to the EMD registration category
    • Gain an awareness of OSC policy initiatives that affect operations of EMDs
    • Hear about common deficiencies identified during EMD compliance reviews and related best practices

    Presentation materials:

    Slides: Exempt market dealers

  • OSC Chair Howard Wetston speaks at the Toronto Region Board of Trade

    March 27, 2014

    Speech

    Speech to Toronto Regional Board of Trade: The Honourable Howard Wetston, Q.C., Chair, Ontario Securities Commission

    The Honourable Howard Wetston, Q.C., Chair, Ontario Securities Commission speaks at the Toronto Region Board of Trade on OSC Priorities for Today’s Capital Markets

    Date: March 27, 2014
    Time: 12:00 AM - 12:00 AM
    Location: The Toronto Region Board of Trade, 77 Adelaide St W., Toronto, Ontario
    Event Details:

    OSC Priorities for Today’s Capital Markets

    Click here to view →

  • Overview of the registration process (Session B: Webinar)

    March 06, 2014 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Session B: Webinar - Overview of the registration process

    This seminar will provide an overview of the registration process, including the use of the National Registration Database (NRD). We will also describe the various registration forms required under National Instrument 33-109 Registration Information and common issues that have been noted in their completion.

    Date: March 06, 2014
    Time: 10:00 AM - 12:00 PM
    Location: Online webinar
    Event Details:

    This seminar will provide an overview of the registration process, including the use of the National Registration Database (NRD). We will also describe the various registration forms required under National Instrument 33-109 Registration Information and common issues that have been noted in their completion. There will also be a discussion of current issues that may impact a firm’s registration application and the implications of late or deficient registration filings.

    Who should attend:

    Individuals responsible for the initial and ongoing maintenance of registration filings for the firm and its registered and permitted individuals.

    Benefits:

    • Understand the registration process and the role of the NRD system
    • Gain an awareness of registration-related issues

    Presentation materials:

    Slides: Overview of the Registration Process

  • OSC in the Community (London)

    March 03, 2014 @ 2:30 PM - 4:00 PM

    OSC in the Community

    OSC in the Community (London)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: March 03, 2014
    Time: 2:30 PM - 4:00 PM
    Location: 78 Riverside Drive, London, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Protect Your Money

     

  • Overview of the registration process (Session A: Webinar)

    March 03, 2014 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Overview of the registration process

    This seminar will provide an overview of the registration process, including the use of the National Registration Database (NRD). We will also describe the various registration forms required under National Instrument 33-109 Registration Information and common issues that have been noted in their completion.

    Date: March 03, 2014
    Time: 10:00 AM - 12:00 PM
    Location: Online webinar
    Event Details:

    This seminar will provide an overview of the registration process, including the use of the National Registration Database (NRD). We will also describe the various registration forms required under National Instrument 33-109 Registration Information and common issues that have been noted in their completion. There will also be a discussion of current issues that may impact a firm’s registration application and the implications of late or deficient registration filings.

    Who should attend:

    Individuals responsible for the initial and ongoing maintenance of registration filings for the firm and its registered and permitted individuals.

    Benefits:

    • Understand the registration process and the role of the NRD system
    • Gain an awareness of registration-related issues

    Presentation materials:

    Slides: Overview of the Registration Process

  • OSC in the Community (Toronto)

    February 26, 2014

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: February 26, 2014
    Time: -
    Location: 789 Yonge St, Toronto, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Protect Your Money

     

  • OSC in the Community (Richmond Hill)

    February 26, 2014

    OSC in the Community

    OSC in the Community (Richmond Hill)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: February 26, 2014
    Time: -
    Location: Richmond Hill, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

  • Raising money in the capital markets

    February 12, 2014

    SME Institute Seminars

    Raising Money in the Capital Markets

    This seminar discussed securities regulatory issues for small and medium sized companies looking to raise capital in the public and private markets. We will examine key requirements for both public offerings and private placements.

    Date: February 12, 2014
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar discussed securities regulatory issues for small and medium sized companies looking to raise capital in the public and private markets. We will examine key requirements for both public offerings and private placements.

    Presentation Documents:

  • OSC in the Community (St. Catharines)

    February 04, 2014

    OSC in the Community

    OSC in the Community (St. Catharines)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: February 04, 2014
    Time: -
    Location: 80 Dunlop Drive, St. Catharines, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

  • Proxy voting infrastructure roundtable

    January 29, 2014

    Other

    Proxy Voting Infrastructure Roundtable

    CSA roundtable discussion Re: consultation paper and request for comment 54-401: review of the proxy voting infrastructure

    Date: January 29, 2014
    Time: 12:00 AM - 12:00 AM
    Location: Ontario Securities Commission, 22nd floor, 20 Queen Street West Toronto, Ontario
    Event Details:

    Transcript of the Proxy Voting Infrastructure Roundtable

  • Continuous disclosure best practices

    January 21, 2014

    SME Institute Seminars

    Continuous Disclosure Best Practices

    This seminar provided a review of obligations under NI 51-102, including MD&A best practices, forward looking information and related party transactions plus other other current topics, including non-GAAP measures, operating segments, cash flow statements

    Date: January 21, 2014
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar provided a review of obligations under NI 51-102, including MD&A best practices, forward looking information and related party transactions plus other other current topics, including non-GAAP measures, operating segments, cash flow statements

    Presentation Documents:

  • OTC derivatives trade reporting in Ontario: what are your obligations?

    January 15, 2014 @ 9:00 AM - 11:00 AM

    Other

    OTC derivatives trade reporting in Ontario: what are your obligations?

    This seminar provides an opportunity for market participants to learn more about these new requirements and for the OSC to engage directly with market participants on this important rule and implementation process

    Date: January 15, 2014
    Time: 9:00 AM - 11:00 AM
    Location: OSC, 22nd floor, 20 Queen Street West, Toronto, Ontario
    Event Details:

    On November 14, 2013, the OSC published OSC Rule 91-506 Derivatives: Product Determination and OSC Rule 91-507Trade Repositories and Derivatives Data Reporting, which is the first set of harmonized derivatives rules for Ontario and one of the most important elements of global OTC derivatives reform. The reporting obligations for the OSC rule begin July 2, 2014 and the OSC wants to help market participants navigate these requirements and ensure preparedness.

    The seminar will cover four key areas: how to report transactions, end user obligations, tips for ensuring dealer compliance and reporting fields.

    The seminar provides an opportunity for market participants to learn more about these new requirements and for the OSC to engage directly with market participants on this important rule and implementation process.

    Attendees will have the opportunity to ask questions of the rule drafters and hear from other participants about their experience and best practices in responding to the changes.

    Presentation Materials: Derivatives seminar

  • KYC and suitability obligations (Session A: Webinar)

    December 11, 2013 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - KYC and suitability obligations

    This seminar will provide an overview of the know your client (KYC) and suitability requirements for registrants under National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.

    Date: December 11, 2013
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    This seminar will provide an overview of the know your client (KYC) and suitability requirements for registrants under National Instrument 31-103Registration Requirements, Exemptions and Ongoing Registrant Obligations. We will also discuss the results of our recent targeted review of registrants to assess their compliance with the KYC, know your product (KYP) and suitability obligations and provide guidance to registrants on best practices in these areas.

    Who should attend:

    Individuals responsible for the collection of KYC information and performing suitability reviews on clients’ investments.

    Benefits:

    • Understanding of the common deficiencies related to KYC, KYP and suitability obligations
    • Hear from OSC staff on best practices in these areas

    Presentation slides:

    Slides: Know-your-client and Suitability Obligations
  • Mineral disclosure best practices

    December 09, 2013

    SME Institute Seminars

    Mineral Disclosure Best Practices

    This seminar provided participants with an opportunity to hear directly from the regulator about key issues related to technical disclosure for mineral projects. Topics covered will include an overview of NI 43-101, fundamental compliance issues, technical reports, and good and bad disclosure practices. The session is intended to assist issuers with improving their technical disclosure.

    Date: December 09, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar provided participants with an opportunity to hear directly from the regulator about key issues related to technical disclosure for mineral projects. Topics covered will include an overview of NI 43-101, fundamental compliance issues, technical reports, and good and bad disclosure practices. The session is intended to assist issuers with improving their technical disclosure.

    Presentation slides:

  • KYC and suitability obligations (Session B: In-Person)

    December 04, 2013 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - KYC and suitability obligations

    This seminar will provide an overview of the know your client (KYC) and suitability requirements for registrants under National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.

    Date: December 04, 2013
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide an overview of the know your client (KYC) and suitability requirements for registrants under National Instrument 31-103Registration Requirements, Exemptions and Ongoing Registrant Obligations. We will also discuss the results of our recent targeted review of registrants to assess their compliance with the KYC, know your product (KYP) and suitability obligations and provide guidance to registrants on best practices in these areas.

    Who should attend:

    Individuals responsible for the collection of KYC information and performing suitability reviews on clients’ investments.

    Benefits:

    • Understanding of the common deficiencies related to KYC, KYP and suitability obligations
    • Hear from OSC staff on best practices in these areas

    Presentation slides:

    Slides: Know-your-client and Suitability Obligations
  • OSC / IIROC Market Structure Conference

    November 21, 2013

    Other

    OSC / IIROC Market Structure Conference

    The Canadian Equity Market: Structural Challenges Amidst Rapid Change

    Date: November 21, 2013
    Time: 12:00 AM - 12:00 AM
    Location: Toronto Board of Trade, 77 Adelaide Street West, Toronto, Ontario
    Event Details:

    Agenda

    8:15 a.m. Registration & Continental Breakfast
    9:00 a.m. Welcome and Introduction
    Susan Greenglass, Director, Market Regulation – Ontario Securities Commission
    Wendy Rudd, SVP, Market Regulation and Policy – Investment Industry Regulatory Organization of Canada (IIROC)

    9:15 a.m. Question and Answer Session - Regulatory Challenges in the Canadian Market
    This interactive Q&A session will examine the role of regulators in today’s market structure and the current challenges faced by Canadian regulators.

    Susan Wolburgh Jenah, President and CEO - IIROC
    Howard I. Wetston, Q.C, Chair and CEO - Ontario Securities Commission
    Moderator: Howard Green, BNN

    Audio (14.1 MB) Running Time: 01:00:28

    10:00 a.m. Examining the Canadian Regulatory Framework
    Presentation: A discussion of the need to examine the regulatory framework in an ever-changing landscape.

    Tracey Stern, Manager, Market Regulation – Ontario Securities Commission
    Jonathan Sylvestre, Senior Accountant, Market Regulation – Ontario Securities Commission

    Audio (5.9 MB) Running Time: 00:25:24

    Presentation Documents: Challenges of a changing market (in PDF)

    10:30 a.m. Refreshment Break
    10:45 a.m. Panel Discussion – Examining the Canadian Regulatory Framework
    This panel will discuss the evolution of market structure and the regulatory framework fostering the current competitive landscape in North America. The discussion will focus on the impact of the Order Protection Rule, but also probe a number of related areas of regulatory study currently underway including trading and data fees and the launch of new marketplaces.

    Moderator:
    Susan Greenglass, Director, Market Regulation - Ontario Securities Commission
    Panelists:
    Deana Djurdjevic, Senior Vice President, Equities Trading - TMX Group
    Robert Young, CEO - Liquidnet Canada
    Peter Haynes, Managing Director, Index Products - TD Securities
    Cindy Petlock
     
    Audio (15.4 MB) Running Time: 01:05:39

    12:00 p.m. Luncheon Break
    1:15 p.m. Market Quality in a Rapidly Changing Environment
    Presentation: IIROC Studies – interim findings – HFT (Phase III) & Dark Liquidity Impact – Victoria Pinnington, VP, Trading Review & Analysis - IIROC

    Audio (5 MB) Running Time: 00:21:39

    Presentation Documents: Market Quality in a Rapidly Changing Environment (in PDF)

    1:45 p.m. Panel Discussion - Market Quality in a Rapidly Changing Environment
    This panel will discuss how market quality is defined by various stakeholders, current factors contributing to and detracting from market quality and lessons learned from developments in the U.S. markets. The implications of IIROC’s findings will also be deliberated.
    Moderator:
    Wendy Rudd, SVP, Market Regulation and Policy - IIROC
    Panelists:
    Stephen Bain, Managing Director & Head-Canadian Electronic Trading, RBC Capital Markets
    Chris Concannon, Executive Vice-President – Virtu Financial, LLC
    Gregg Berman, Associate Director, Office of Analytics and Research – SEC
    Tal Cohen, CEO – Chi-X Global

    Audio (20.3 MB) Running Time: 01:26:41

    3:00 p.m. Closing Remarks – Susan Greenglass and Wendy Rudd
  • Implications of amendments to NI 31-103 for Client Relationship Model (Session B: In-Person)

    November 21, 2013 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Implications of amendments to NI 31-103 for Client Relationship Model

    This seminar will provide an overview of the recent amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, which introduce performance reporting requirements and enhance existing cost disclosure requirements, as well as introduce some new client statement requirements. The amendments are relevant to all categories of registered dealer and registered adviser, with some application to investment fund managers. We will present a walk-through of the key provisions, discuss how the amendments apply to each registrant category, as well as touch on the time frame for implementation.

    Date: November 21, 2013
    Time: 10:00 AM - 12:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide an overview of the recent amendments to National Instrument 31-103Registration Requirements, Exemptions and Ongoing Registrant Obligations, which introduce performance reporting requirements and enhance existing cost disclosure requirements, as well as introduce some new client statement requirements. The amendments are relevant to all categories of registered dealer and registered adviser, with some application to investment fund managers. We will present a walk-through of the key provisions, discuss how the amendments apply to each registrant category, as well as touch on the time frame for implementation.

    Who should attend:

    Registered representatives and individuals responsible for compliance oversight at registered firms, as well as interested investors.

    Benefits:

    • Know what the amendments are
    • Understand the investor focused reasons for the amendments
    • Gain an awareness of the transition or roll out period and what we expect will be happening during this time
    • Discuss how you and your firm may implement and roll out this new and improved investor information

    Presentation slides:

    Presentation slides:

    Slides: Client Relationship Model Phase 2 (CRM2): Cost and Performance Reporting Requirements

    Additional handouts:

  • Implications of amendments to NI 31-103 for Client Relationship Model (Session A: In-Person)

    November 21, 2013 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: In-Person - Implications of amendments to NI 31-103 for Client Relationship Model

    This seminar will provide an overview of the recent amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, which introduce performance reporting requirements and enhance existing cost disclosure requirements, as well as introduce some new client statement requirements. The amendments are relevant to all categories of registered dealer and registered adviser, with some application to investment fund managers. We will present a walk-through of the key provisions, discuss how the amendments apply to each registrant category, as well as touch on the time frame for implementation.

    Date: November 21, 2013
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide an overview of the recent amendments to National Instrument 31-103Registration Requirements, Exemptions and Ongoing Registrant Obligations, which introduce performance reporting requirements and enhance existing cost disclosure requirements, as well as introduce some new client statement requirements. The amendments are relevant to all categories of registered dealer and registered adviser, with some application to investment fund managers. We will present a walk-through of the key provisions, discuss how the amendments apply to each registrant category, as well as touch on the time frame for implementation.

    Who should attend:

    Registered representatives and individuals responsible for compliance oversight at registered firms, as well as interested investors.

    Benefits:

    • Know what the amendments are
    • Understand the investor focused reasons for the amendments
    • Gain an awareness of the transition or roll out period and what we expect will be happening during this time
    • Discuss how you and your firm may implement and roll out this new and improved investor information

    Presentation slides:

    Slides: Client Relationship Model Phase 2 (CRM2): Cost and Performance Reporting Requirements

    Additional handouts:

  • OSC in the Community (Barrie)

    November 19, 2013 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Barrie)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 19, 2013
    Time: 2:00 PM - 3:30 PM
    Location: 190 Bayview Drive, Barrie, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Presentation Documents: Protect Your Money

     

  • OSC in the Community (Ottawa)

    October 28, 2013 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Ottawa)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: October 28, 2013
    Time: 1:30 PM - 3:00 PM
    Location: 2451 Riverside Drive, Ottawa, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Protect Your Money

     

  • Start to finish: getting through an OSC compliance review (Session B: In-Person)

    October 24, 2013 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Start to finish: Getting through an OSC compliance review

    This seminar will provide a description of the OSC compliance review process which is one of the main tools we use to monitor registrants. This will include a discussion on the types of reviews that we perform, the common deficiencies noted and the various ways that compliance review findings are handled.

    Date: October 24, 2013
    Time: 10:00 AM - 12:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide a description of the OSC compliance review process which is one of the main tools we use to monitor registrants. This will include a discussion on the types of reviews that we perform, the common deficiencies noted and the various ways that compliance review findings are handled.

    Who should attend:

    Most registrants appoint a contact person during a compliance review, usually the Chief Compliance Officer. Individuals who would be responsible for this role and who have a good understanding of the firm’s operations and policies and procedures should attend.

    Benefits:

    • Understanding of the OSC’s compliance review process
    • Hear from OSC staff on common deficiencies identified during compliance reviews
    • Understand the regulatory actions the OSC may take in circumstances where significant regulatory weaknesses are identified

    Presentation slides:

    Slides: Start to finish: Getting through an OSC compliance review

     

  • Start to finish: getting through an OSC compliance review (Session A: In-Person)

    October 22, 2013 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: In-Person - Start to finish: Getting through an OSC compliance review

    This seminar will provide a description of the OSC compliance review process which is one of the main tools we use to monitor registrants. This will include a discussion on the types of reviews that we perform, the common deficiencies noted and the various ways that compliance review findings are handled.

    Date: October 22, 2013
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide a description of the OSC compliance review process which is one of the main tools we use to monitor registrants. This will include a discussion on the types of reviews that we perform, the common deficiencies noted and the various ways that compliance review findings are handled.

    Who should attend:

    Most registrants appoint a contact person during a compliance review, usually the Chief Compliance Officer. Individuals who would be responsible for this role and who have a good understanding of the firm’s operations and policies and procedures should attend.

    Benefits:

    • Understanding of the OSC’s compliance review process
    • Hear from OSC staff on common deficiencies identified during compliance reviews
    • Understand the regulatory actions the OSC may take in circumstances where significant regulatory weaknesses are identified

    Presentation slides:

    Slides: Start to finish: Getting through an OSC compliance review

     

  • Women on boards roundtable

    October 16, 2013

    Other

    Disclosure Requirements Regarding Women on Boards and in Senior Management

    Roundtable which will further explore the issues identified in OSC Staff Consultation Paper 58-401 Disclosure Requirements Regarding Women on Boards and in Senior Management, including effective policies and practices and disclosure requirements regarding women on boards and in senior management. The roundtable discussion will help inform next steps on this initiative.

    Date: October 16, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details:

    Roundtable which will further explore the issues identified in OSC Staff Consultation Paper 58-401 Disclosure Requirements Regarding Women on Boards and in Senior Management, including effective policies and practices and disclosure requirements regarding women on boards and in senior management. The roundtable discussion will help inform next steps on this initiative.

    The OSC also extended the comment period close date from September 27, 2013, to October 4, 2013, to allow those wishing to provide feedback on the Paper sufficient time to do so.

    The roundtable will be hosted by OSC Executives, Howard Wetston, Chair and CEO, Maureen Jensen, Executive Director and CAO and Mary Condon, Vice-Chair. The roundtable will also feature external panellists representing different stakeholder perspectives. The roundtable is open to the public and members of the media.

    Any interested parties wishing to attend the roundtable are asked to send an email with full contact details to: genderdiversity@osc.gov.on.ca.

    Purpose of the Roundtable

    We published a consultation paper on July 30th seeking input on a proposal that would require TSX-listed companies to provide disclosure regarding women on their boards and in senior management and we committed to holding a roundtable to discuss the issue with stakeholders.

    The focus of our consultation is on advancing the representation of women on boards and in senior management. Women continue to be underrepresented on boards and in positions of senior management in Canada. Diversity of opinion is invaluable to corporate decision making.

    The roundtable discussions, in addition to the comment letters received on the paper, will inform our recommendations to the Ontario Minister of Finance and Minister Responsible for Women’s Issues who have requested that we undertake this review and public consultation.

    Format of the Roundtable

    The roundtable will be moderated by Howard Wetston (OSC Chair), Maureen Jensen (Executive Director), and Mary Condon (OSC Vice-Chair). There will be a number of external panellist representing different perspectives. These will include investors, public companies, corporate directors, academics and women’s advocacy groups.

    The roundtable will include a discussion on policies and what is effective for increasing the number of women on boards and in senior management. There will also be a discussion on disclosure requirements and what would be most appropriate and useful.

    Unedited transcript of the roundtable discussion of OSC Staff Consultation Paper 58-401 Disclosure Requirements Regarding Women on Boards and in Senior Management on October 16, 2013 which we received directly from the transcriber.

    Click here to view →

  • OSC Dialogue 2013

    October 08, 2013 @ 8:30 AM - 3:00 PM

    Other

    OSC Dialogue 2013

    Each year OSC Dialogue brings hundreds of market participants together on issues and trends facing the capital markets. Discussing where we are and where the markets are going is critical to ensuring a strong and healthy regulatory system.

    Date: October 08, 2013
    Time: 8:30 AM - 3:00 PM
    Location: Toronto Board of Trade, Toronto, Ontario
    Event Details:

    Agenda

    8:00 a.m. Registration
    8:30 a.m. Welcome

    Maureen Jensen, Chief Administrative Officer and Executive Director, OSC

    Audio (1.41 MB)
    Running Time: 00:06:10

    8:45 a.m. Plenary Session One
    Shareholder Rights and Board Authority: Market and Regulatory Trends

    Moderator: Howard I. Wetston, Q.C., Chair, OSC

    Panel:
    Stephen Halperin, Partner, Goodmans LLP
    Martin Lipton, Founding Partner, Wachtell, Lipton, Rosen & Katz
    Leo E. Strine, Jr., Chancellor, Court of Chancery (Delaware)
    James E. A. Turner, Vice-Chair, OSC

    Audio (21.7 MB)
    Running Time: 01:35:07

    10:15 a.m. Break
    10:30 a.m. Plenary Session Two
    Behavioural Economics and Investor Protection: Trend or New Reality?

    Moderator: Mary G. Condon, Vice-Chair, OSC

    Panel:
    Paul Bates, Chair, OSC Investor Advisory Panel
    Rhonda Goldberg, Director, Investment Funds, OSC
    William R. Horton, Jr., Chief Investment Officer and Executive Vice President, MD Physician Services, Inc.
    Doug Steiner, Principal, BEworks

    Audio (16.4 MB)
    Running Time: 01:11:59

    11:45 a.m. Networking Lunch
    1:00 p.m. Plenary Session Three
    The Enforcement of Securities Law: Achieving Its Deterrent Objective?

    Moderator: Poonam Puri, Associate Dean & Professor, Osgoode Hall Law School, York University

    Panel:
    Tom Atkinson, Director, Enforcement, OSC
    Andrew M. Calamari, Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
    Anthony Doob, Professor Emeritus of Criminology, University of Toronto
    Tracey McDermott, Director, Enforcement and Financial Crime, Financial Conduct Authority

    Audio (13.6 MB)
    Running Time: 00:59:36

    2:00 p.m. Plenary Session Four
    Capital Formation in Canada: Issue or Opportunity?

    Moderator: David Kaufman, President and Chief Executive Officer, Westcourt Capital Corporation

    Panel:
    Kevan Cowan, President, TSX Markets and Group Head of Equities, TMX Group
    Huston Loke, Director, Corporate Finance, OSC
    Jos Schmitt, Chief Executive Officer, Aequitas Innovations Inc.
    Peter Schwartz, Chairman and Chief Executive Officer, Demeure Operating Company Ltd.

    Audio (23.0 MB)
    Running Time: 00:57:39

    3:00 p.m. Event Conclusion
  • OSC in the Community (Windsor)

    September 27, 2013 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Brampton)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: September 27, 2013
    Time: 1:30 PM - 3:00 PM
    Location: 635 McEwan Avenue, Windsor, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Protect Your Money

     

  • Working capital calculations

    September 20, 2013 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Working capital calculations

    This seminar will provide an overview of the working capital requirements for registrants under National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. We will discuss common deficiencies we have noted during compliance reviews and from regulatory filings of working capital. There will also be discussion of best practices and the action the OSC may take if a registrant is capital deficient.

    Date: September 20, 2013
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide an overview of the working capital requirements for registrants under National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. We will discuss common deficiencies we have noted during compliance reviews and from regulatory filings of working capital. There will also be discussion of best practices and the action the OSC may take if a registrant is capital deficient.

    Who should attend:

    Individuals responsible for the preparation and review of working capital calculations at registrants. This may include CCOs, CFOs or other accounting staff.

    Benefits:

    • Awareness of regulatory working capital requirements
    • Observe and participate in the completion of a working capital calculation
    • Hear from OSC staff on findings related to working capital calculations and best practices
    • Understand the regulatory action the OSC may take in the case where a registrant is capital deficient and the options available to the registrant in these cases

    Presentation slides:

    Slides: Working Capital Calculations 

  • Industry roundtable on best interest duty for adviser and dealers

    June 25, 2013

    Other

    Investor roundtable on best interest duty for adviser and dealers

    This is the unedited transcript of the Industry Roundtable Re: CSA Consultation Paper 33-403 - Statutory Best Interest Duty for Advisors and Dealers on June 25, 2013 which we received directly from the transcriber.

    Date: June 25, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details: This is the unedited transcript of the Industry Roundtable Re: CSA Consultation Paper 33-403 - Statutory Best Interest Duty for Advisors and Dealers on June 25, 2013 which we received directly from the transcriber.

    Click here to view →

  • OSC in the Community (Brampton)

    June 19, 2013

    OSC in the Community

    OSC in the Community (Brampton)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: June 19, 2013
    Time: -
    Location: 30 Peel Centre Drive,Brampton, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Protect Your Money

     

  • Investor roundtable on best interest duty for adviser and dealers

    June 18, 2013

    Other

    Investor Roundtable on Best Interest Duty for Adviser and Dealers

    This is the unedited transcript of the Investor Roundtable Re: CSA Consultation Paper 33-403 - Statutory Best Interest Duty for Advisors and Dealers on June 18, 2013 which we received directly from the transcriber.

    Date: June 18, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen St W, Toronto ON M5H 3S8
    Event Details: This is the unedited transcript of the Investor Roundtable Re: CSA Consultation Paper 33-403 - Statutory Best Interest Duty for Advisors and Dealers on June 18, 2013 which we received directly from the transcriber.

    Click here to view →

  • Mututal fund fees roundtable

    June 07, 2013

    Other

    Mututal Fund Fees roundtable

    This is the unedited transcript of the OSC Mutual Fund Fees Roundtable on June 7, 2013 which we received directly from the transcriber.

    Date: June 07, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen St W, Toronto ON M5H 3S8
    Event Details: This is the unedited transcript of the OSC Mutual Fund Fees Roundtable on June 7, 2013 which we received directly from the transcriber.

    Click here to view →

  • OSC Executive Director Maureen Jensen speaks at the Securities investigators training course

    June 06, 2013

    Speech

    Securities Investigators Training Course

    Co-operative Enforcement from the Global Marketplace to Main Street
    Opening Remarks to the Securities investigators training course - Maureen Jensen, Executive Director, OSC

    Date: June 06, 2013
    Time: 12:00 AM - 12:00 AM
    Location: Innisfil, Ontario
    Event Details: Co-operative Enforcement from the Global Marketplace to Main Street
    Opening Remarks to the Securities Investigators Training Course Maureen Jensen, Executive Director, OSC

    Click here to view →

  • How to write an effective MD&A

    June 05, 2013

    SME Institute Seminars

    How to write an effective MD&A

    This seminar provided an overview of the obligations of MD&A obligations as set out in NI51-102F1, including common deficiencies, examples of entity specific disclosure, and effective writing tips. A securities analyst was among our team of speakers at this session

    Date: June 05, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar provided an overview of the obligations of MD&A obligations as set out in NI51-102F1, including common deficiencies, examples of entity specific disclosure, and effective writing tips. A securities analyst was among our team of speakers at this session

    Presentation slides:

  • OSC in the Community (Peterborough)

    May 28, 2013

    OSC in the Community

    OSC in the Community (Peterborough)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: May 28, 2013
    Time: -
    Location: 150 George Street N, Peterborough, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Protect Your Money

     

  • Continuous disclosure special topics II

    May 28, 2013

    SME Institute Seminars

    Continuous Disclosure Special Topics II

    This seminar discussed five special continuous disclosure topics: (1) impairment; (2) segment disclosures; (3) forward looking information; (4) cash flow information; and (5) operating in emerging markets. We examined common deficiencies, provided disclosure examples and discussed common red flags. We also reviewed corporate governance and disclosure best practices highlighted in OSC Staff Notice 51-720 Issuer Guide for Companies Operating in Emerging Markets, and how these best practices can be applied to small and medium enterprises.

    Date: May 28, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar discussed five special continuous disclosure topics: (1) impairment; (2) segment disclosures; (3) forward looking information; (4) cash flow information; and (5) operating in emerging markets. We examined common deficiencies, provided disclosure examples and discussed common red flags. We also reviewed corporate governance and disclosure best practices highlighted in OSC Staff Notice 51-720 Issuer Guide for Companies Operating in Emerging Markets, and how these best practices can be applied to small and medium enterprises.

    Presentation slides:

  • OSC in the Community (Sudbury)

    May 23, 2013

    OSC in the Community

    OSC in the Community (Sault Ste. Marie)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: May 23, 2013
    Time: -
    Location: 85 Ste. Anne Road, Sudbury, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Protect Your Money

     

  • OSC Chair Howard Wetston speaks at 2013 EMDA Exempt Market Conference

    May 02, 2013

    Speech

    2013 EMDA Exempt Market Conference

    The conference will focus on the following theme "Changing the Conversation - Future of the Exempt Market” and will include discussion about key current issues and the future outlook for the exempt market and exempt market participants.

    Date: May 02, 2013
    Time: 9:00 AM - 5:30 PM
    Location: The National Club, 303 Bay Street, Toronto, Ontario
    Event Details:

    The EMDA announces the 2nd Annual EMDA Exempt Market Conference that will take place at the National Club in Toronto on May 2nd, 2013. This annual event is a ‘must attend’ event for entrepreneurs, exempt market dealers, issuers, professionals in the exempt market and corporate finance industries, private equity and venture capital investors, lawyers and investment bankers.

    The conference will focus on the following theme "Changing the Conversation - Future of the Exempt Market” and will include discussion about key current issues and the future outlook for the exempt market and exempt market participants. The event will culminate with a prestigious ceremony for 2013 EMDA Awards - Exempt Market Deals of the Year - the first national industry awards for exempt market professionals that promote best practices and high standards of conduct in the exempt market. Make sure you are there to hear the stories of successful financing deals in the exempt market, and meet the people behind those deals who are leaders in raising capital in Canada’s fast growing exempt market.

    “Regulatory Vision for the Exempt Market" - Speech to 2013 EMDA Exempt Market Conference by Howard Wetston, Chair, OSC

    Click here to view →

  • OSC in the Community (Sault Ste. Marie)

    April 24, 2013

    OSC in the Community

    OSC in the Community (Sault Ste. Marie)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: April 24, 2013
    Time: -
    Location: 208 St. Mary’s River Drive, Sault Ste. Marie, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Protect Your Money

     

  • OSC Director, Compliance and Registrant Regulation Branch, Debra Foubert speaks at the Strategy Institute: Annual Registrant Regulation, Conduct & Compliance Summit

    April 09, 2013

    Speech

    OSC Director, Compliance and Registrant Regulation Branch, Debra Foubert speaks at Strategy Institute: Annual Registrant Regulation, Conduct & Compliance Summit

    Now and the Years Ahead: Ongoing Priorities and Projects Being Developed by the Compliance and Registrant Regulation Branch

    Date: April 09, 2013
    Time: 12:00 AM - 12:00 AM
    Location:
    Event Details:

    Topic: "Now and the Years Ahead: Ongoing Priorities and Projects Being Developed by the Compliance and Registrant Regulation Branch"


    Click here to view →
  • OSC in the Community (London)

    March 27, 2013

    OSC in the Community

    OSC in the Community (London)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: March 27, 2013
    Time: -
    Location: London, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

    Presentation Documents: Protect Your Money

  • OSC Executive Director Maureen Jensen speaks at the Goodman School of Mines, Laurentian University

    March 25, 2013

    Speech

    OSC Executive Director Maureen Jensen speaks at the Goodman School of Mines, Laurentian University

    “The Right Regulation for Ontario’s Investors and Capital Markets”

    This one hour presentation will delve into the past and current roles of the Ontario Securities Commission and the evolution and reasoning behind the changes. Ms. Jensen will expand on the current regulatory environment, the inherent challenges and anticipated outcomes as they relate to mineral exploration and mine development.

    Date: March 25, 2013
    Time: 7:00 PM - 8:00 PM
    Location: Goodman School of Mines, Laurentian University, 935 Ramsey Lake Rd., Sudbury, ON P3E 2C6
    Event Details:

    “The Right Regulation for Ontario’s Investors and Capital Markets” - Maureen Jensen, Executive Director, OSC

    Presentation materials:  

  • OSC in the Community (Kingston)

    March 04, 2013

    OSC in the Community

    OSC in the Community (Kingston)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: March 04, 2013
    Time: -
    Location: The Seniors Centre 56 Francis Street, Kingston Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

    Presentation Documents: Protect Your Money

  • OSC in the Community (Thunder Bay)

    February 27, 2013 @ 5:00 PM - 7:00 PM

    OSC in the Community

    OSC in the Community (Thunder Bay)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: February 27, 2013
    Time: 5:00 PM - 7:00 PM
    Location: 1 Valhalla Road, Thunder Bay, ON
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

    Presentation Documents: Protect Your Money

  • Regulatory overview for directors and audit committees

    February 05, 2013

    SME Institute Seminars

    Regulatory Overview for Directors and Audit Committees

    This seminar provided an overview of the aspects of public company securities requirements in Canada relevant to Directors, including: filing requirements and deadlines, NI 58-101 Disclosure of Corporate Governance, NI 52-110 Audit Committees, NP 58-201 Corporate Governance Guidelines, insider reporting, selective disclosure, and forward looking information.

    Date: February 05, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar provided an overview of the aspects of public company securities requirements in Canada relevant to Directors, including: filing requirements and deadlines, NI 58-101 Disclosure of Corporate Governance, NI 52-110 Audit Committees, NP 58-201 Corporate Governance Guidelines, insider reporting, selective disclosure, and forward looking information.

    Presentation slides: Slides: Regulatory Overview for Directors and Audit Committees

  • Preparing your annual information circular

    January 24, 2013

    SME Institute Seminars

    Preparing Your Annual Information Circular

    This seminar provided practical guidance to assist you in preparing your executive compensation and corporate governance disclosures in your annual information circular

    Date: January 24, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar provided practical guidance to assist you in preparing your executive compensation and corporate governance disclosures in your annual information circular

    Presentation slides:

  • Auditing small and medium enterprises

    January 22, 2013

    SME Institute Seminars

    Auditing Small and Medium Enterprises

    This seminar discussed those securities legislation and Canadian Auditing and Other Standards most relevant to the audit and review of small and medium public enterprises. We examined where we have observed common issues, and provided examples of best practices. A representative from CPAB was among our team of speakers at this session.

    Date: January 22, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar discussed those securities legislation and Canadian Auditing and Other Standards most relevant to the audit and review of small and medium public enterprises. We examined where we have observed common issues, and provided examples of best practices. A representative from CPAB was among our team of speakers at this session.

    Presentation slides:

  • Industry Series - mining (Session B)

    January 13, 2013

    SME Institute Seminars

    Industry Series - Mining (Session B)

    The Industry Series comprised of 4 sessions that were tailored towards specific industries. Each session discussed: key financial statement issues applicable to the industry, common MD&A deficiencies, other aspects of regulatory compliance, and tips on working with the OSC. The sessions provided best practices and OSC staff shared the latest hot buttons in securities compliance.

    Date: January 13, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The Industry Series comprised of 4 sessions that were tailored towards specific industries. Each session discussed: key financial statement issues applicable to the industry, common MD&A deficiencies, other aspects of regulatory compliance, and tips on working with the OSC. The sessions provided best practices and OSC staff shared the latest hot buttons in securities compliance.

    Presentation slides:

  • Slides: Industry Series: Mining (Session B - January 17, 2013)
  • Industry Series - technology/communications

    December 06, 2012

    SME Institute Seminars

    Industry Series - Technology/Communications

    The Industry Series comprised of 4 sessions that were tailored towards specific industries. Each session discussed: key financial statement issues applicable to the industry, common MD&A deficiencies, other aspects of regulatory compliance, and tips on working with the OSC. The sessions provided best practices and OSC staff shared the latest hot buttons in securities compliance.

    Date: December 06, 2012
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The Industry Series comprised of 4 sessions that were tailored towards specific industries. Each session discussed: key financial statement issues applicable to the industry, common MD&A deficiencies, other aspects of regulatory compliance, and tips on working with the OSC. The sessions provided best practices and OSC staff shared the latest hot buttons in securities compliance.

    Presentation slides:

  • Industry Series - mining (Session A)

    December 05, 2012

    SME Institute Seminars

    Industry Series - Mining (Session A)

    The Industry Series comprised of 4 sessions that were tailored towards specific industries. Each session discussed: key financial statement issues applicable to the industry, common MD&A deficiencies, other aspects of regulatory compliance, and tips on working with the OSC. The sessions provided best practices and OSC staff shared the latest hot buttons in securities compliance.

    Date: December 05, 2012
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The Industry Series comprised of 4 sessions that were tailored towards specific industries. Each session discussed: key financial statement issues applicable to the industry, common MD&A deficiencies, other aspects of regulatory compliance, and tips on working with the OSC. The sessions provided best practices and OSC staff shared the latest hot buttons in securities compliance.

    Presentation slides:

  • Industry Series - financial services, retail and manufacturing

    December 04, 2012

    SME Institute Seminars

    Industry Series - Financial Services, Retail and Manufacturing

    The Industry Series comprised of 4 sessions that were tailored towards specific industries. Each session discussed: key financial statement issues applicable to the industry, common MD&A deficiencies, other aspects of regulatory compliance, and tips on working with the OSC. The sessions provided best practices and OSC staff shared the latest hot buttons in securities compliance.

    Date: December 04, 2012
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The Industry Series comprised of 4 sessions that were tailored towards specific industries. Each session discussed: key financial statement issues applicable to the industry, common MD&A deficiencies, other aspects of regulatory compliance, and tips on working with the OSC. The sessions provided best practices and OSC staff shared the latest hot buttons in securities compliance.

    Presentation slides:

  • Raising money in the capital markets

    November 15, 2012

    SME Institute Seminars

    Raising Money in the Capital Markets

    The seminar discussed securities regulatory issues for small and medium sized companies looking to raise capital in the public and private markets. We examined key requirements for both public offerings and private placements.

    Date: November 15, 2012
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The seminar discussed securities regulatory issues for small and medium sized companies looking to raise capital in the public and private markets. We examined key requirements for both public offerings and private placements.

    Presentation slides:

  • Mineral disclosure best practices (Session B)

    November 06, 2012

    SME Institute Seminars

    Mineral Disclosure Best Practices (Session B)

    This seminar provided participants with an opportunity to hear directly from the regulator about key issues related to technical disclosure for mineral projects. Topics covered included an overview of NI 43-101, fundamental compliance issues, technical reports, and good and bad disclosure practices. The session was intended to assist issuers with improving their technical disclosure.

    Date: November 06, 2012
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar provided participants with an opportunity to hear directly from the regulator about key issues related to technical disclosure for mineral projects. Topics covered included an overview of NI 43-101, fundamental compliance issues, technical reports, and good and bad disclosure practices. The session was intended to assist issuers with improving their technical disclosure.

    Presentation slides:

  • OSC Dialogue 2012

    October 30, 2012 @ 8:00 AM - 2:30 PM

    Other

    OSC Dialogue

    Each year OSC Dialogue brings hundreds of market participants together on issues and trends facing the capital markets. Discussing where we are and where the markets are going is critical to ensuring a strong and healthy regulatory system.

    Date: October 30, 2012
    Time: 8:00 AM - 2:30 PM
    Location: Toronto Board of Trade, 1 First Canadian Place, Toronto
    Event Details:
    8:00 a.m. Registration
    8:30 a.m. Welcome and Chair’s Keynote Address
    Howard I. Wetston, Q.C., Chair, Ontario Securities Commission

    Audio (5.7MB)

    9:00 a.m. Plenary Session: Priorities for Canada's Capital Markets in a Global Marketplace
    Securities regulators and market participants share a common interest in fostering confidence in capital markets that are increasingly complex and interconnected. This plenary panel will examine key international developments in the capital markets and their implications for Canada, especially in the areas of systemic risk, enforcement, market structure and investor protection.
    Moderator: Maureen Jensen, Executive Director, OSC
    Panel: Mark Adams, Special Advisor, Research, Strategy and Risk, OSC
    Stephen Erlichman, Executive Director, Canadian Coalition for Good Governance
    Margaret Franklin, CFA, Chief Executive Officer, Kinsale Private Wealth Inc.
    Margot Howard, Commissioner, OSC
    Tom Kloet, Chief Executive Officer, TMX Group Ltd.

    Audio (21.3MB)

    10:15 a.m. Break

    10:30 a.m. Concurrent Break-out Sessions
    1. Proactive Enforcement
    This panel will focus on the OSC's enforcement priorities, including emerging markets investigations, illegal insider trading and bringing cases before the Ontario Court of Justice, and also discuss the role of technology in securities law enforcement and the use of the public interest jurisdiction.
    Moderator: Tom Atkinson, Director, Enforcement, OSC
    Panel: Kathryn Daniels, Deputy Director, Enforcement Branch, OSC
    Karen Manarin, Deputy Director, Enforcement Branch, OSC
    Ermanno Pascutto, Executive Director, FAIR Canada
    Paul Steep, Partner, McCarthy Tétrault

    Audio (14.8MB)

    2. Securities Regulation and Systemic Risk
    The panel will examine a broad overview of systemic risk issues in Canada, including shadow banking, securitization and derivatives, and also discuss the different roles of regulators in mitigating systemic risk to the financial markets.
    Moderator: Kevin Fine, Director, Derivatives, OSC
    Panel: Pei-Ching Huang, Senior Legal Counsel, Investment Funds Branch, OSC
    Finn Poschmann, Vice President, Research, C.D. Howe Institute
    Winnie Sanjoto, Senior Legal Counsel, Corporate Finance Branch, OSC
    Aaron Unterman, Legal Counsel, Derivatives Branch, OSC

    Audio (14.2MB)

    3. OSC Approaches to Fostering Efficient Capital Formation
    The panel will discuss issues related to the exempt market and capital-raising by small- and medium-size enterprises and venture issuers, including OSC initiatives aimed at facilitating efficient capital-raising while protecting the interests of investors.
    Moderator: Jim Turner, Vice-Chair, OSC
    Panel: Lisa Enright, Manager, Corporate Finance Branch, OSC
    David Kaufman, President, Westcourt Capital Corporation
    Jo-Anne Matear, Manager, Corporate Finance Branch, OSC
    Rick Nathan, Managing Director, Kensington Capital Partners Limited and Past Chair, Canada’s Venture Capital and Private Equity Association

    Audio (15.1MB)

    12:00 p.m. Lunch and Keynote Address
    Gary Gensler, Chairman, U.S. Commodity Futures Trading Commission (Participating via audio or video conference)
    Audio (6.9MB)

    1:15 p.m. Concurrent Break-out Sessions
    1. Boards of Directors: Evolving Expectations in Corporate Governance
    At a time when boards of directors face rising public expectations, this panel will explore issues such as regulatory and investor pressures on directors, the tension between changing board responsibilities and the demand for greater shareholder involvement in corporate governance and the appropriate role of corporate law and securities law in imposing obligations and expectations on board directors.
    Moderator: Leslie Byberg, Director, Strategy and Risk, OSC
    Panel: Naizam Kanji, Deputy Director, Corporate Finance Branch, OSC
    Richard Leblanc, Associate Professor, Governance, Law & Ethics, York University
    Shannon O’Hearn, Manager, Corporate Finance Branch, OSC
    Ed Waitzer, Professor and Jarislowsky Dimma Mooney Chair in Corporate Governance, Osgoode Hall Law School and the Schulich School of Business

    Audio (16.9MB)

    2. Market Structure Issues
    OSC staff and external panelists will discuss changing technology, marketplace models and infrastructure with a particular focus on electronic trading, the growth of dark pools and oversight of key market infrastructure, including clearing agencies.
    Moderator: Susan Greenglass, Director, Market Regulation, OSC
    Panel: Doug Clark, Managing Director, Research, ITG Canada Corp.
    Dan Kessous, Chief Executive Officer, Chi-X Canada ATS Limited
    Antoinette Leung, Manager, Market Regulation Branch, OSC
    Ryan Riordan, Assistant Professor, Faculty of Business and Information Technology, University of Ontario Institute of Technology
    Tracey Stern, Manager, Market Regulation Branch, OSC

    Audio (19.1MB)

    3. Investor Issues
    Panelists will discuss the role of disclosure and regulatory intervention in investor protection, with a focus on current investor initiatives relating to fiduciary duty, the client relationship model, mutual fund fees and dispute resolution.
    Moderator: Mary Condon, Vice-Chair, OSC
    Panel: Tom Bradley, President, Steadyhand Investment Funds Inc.
    Eleanor Farrell, Director, Office of the Investor, OSC
    Rhonda Goldberg, Director, Investment Funds Branch, OSC
    Chris Jepson, Senior Legal Counsel, Compliance and Registrant Regulation Branch, OSC
    Jeff Scanlon, Legal Counsel, Compliance and Registrant Regulation Branch, OSC

    Audio (17.8MB)

    2:30 p.m. Event Close
  • Prospectus requirements and review process

    October 23, 2012

    SME Institute Seminars

    Prospectus Requirements and Review Process

    This seminar provided an introduction to the requirements in the various prospectus rules, and an overview of our review process, including a discussion of some of the common issues and frequently asked questions.

    Date: October 23, 2012
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar provided an introduction to the requirements in the various prospectus rules, and an overview of our review process, including a discussion of some of the common issues and frequently asked questions.

    Presentation slides:

  • Continuous disclosure obligations

    October 17, 2012

    SME Institute Seminars

    Continuous Disclosure Obligations

    This seminar included the review of obligations under NI 51-102, including: annual and interim filings and due dates; filing requirements for material contracts and material change reports; BAR requirements; forward looking information; and insider filing obligations.

    Date: October 17, 2012
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar included the review of obligations under NI 51-102, including: annual and interim filings and due dates; filing requirements for material contracts and material change reports; BAR requirements; forward looking information; and insider filing obligations.

    Presentation slides:

  • Mineral disclosure best practices (Session A)

    September 25, 2012

    SME Institute Seminars

    Mineral Disclosure Best Practices (Session A)

    This seminar provided participants with an opportunity to hear directly from the regulator about key issues related to technical disclosure for mineral projects. Topics covered included an overview of NI 43-101, fundamental compliance issues, technical reports, and good and bad disclosure practices. The session was intended to assist issuers with improving their technical disclosure.

    Date: September 25, 2012
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar provided participants with an opportunity to hear directly from the regulator about key issues related to technical disclosure for mineral projects. Topics covered included an overview of NI 43-101, fundamental compliance issues, technical reports, and good and bad disclosure practices. The session was intended to assist issuers with improving their technical disclosure.

    Presentation slides:

  • Continuous disclosure special topics I - risk and fash flows

    September 18, 2012

    SME Institute Seminars

    Continuous Disclosure Special Topics I - Risk and Cash Flows

    This seminar discussed two special continuous disclosure hot topics: (1) risk oversight and disclosure; and (2) the importance of cash flow information in financial reporting. We examined common disclosure deficiencies, provided guidance for boards on the effective oversight of risks, and discussed common red flags that can be identified from cash flow information.

    Date: September 18, 2012
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar discussed two special continuous disclosure hot topics: (1) risk oversight and disclosure; and (2) the importance of cash flow information in financial reporting. We examined common disclosure deficiencies, provided guidance for boards on the effective oversight of risks, and discussed common red flags that can be identified from cash flow information.

    Presentation slides:

  • OSC Executive Director Maureen Jensen speaks at the Canadian Security Traders Association Annual Conference

    August 17, 2012

    Speech

    Marketplace Regulation: Today's Focus and Tomorrow's Challenges

    Marketplace Regulation: Today's Focus and Tomorrow's Challenges

    Date: August 17, 2012
    Time: 12:00 AM - 12:00 AM
    Location:
    Event Details:

    Canadian Security Traders Association Annual Conference
    Maureen Jensen, Executive Director, OSC

    Click here to view →

  • OSC Vice-Chair Mary Condon speaks at the Toronto Securities Leadership Seminar

    July 09, 2012

    Speech

    OSC Vice-Chair Mary Condon to speak at the Toronto Securities Leadership Seminar

    Canada's role in expanded IOSCO principles - Toronto Securities Leadership Seminar

    Date: July 09, 2012
    Time: 12:00 AM - 12:00 AM
    Location:
    Event Details:

    Topic: "Canada's role in expanded IOSCO principles" - Mary Condon, Vice-Chair, OSC

    Click here to view →

  • OSC / IIROC Market Structure Conference 2012

    June 26, 2012 @ 8:15 AM - 3:00 PM

    Speech

    OSC / IIROC Market Structure Conference 2012

    The Canadian Equity Market: Evolution, Competition and the Future

    Date: June 26, 2012
    Time: 8:15 AM - 3:00 PM
    Location: Design Exchange, 234 Bay St, Toronto, Ontario
    Event Details:

    Agenda

    8:15am Registration & Breakfast
    9:00am Opening Remarks
      • Susan Wolburgh Jenah, President and CEO, Investment Industry Regulatory Organization of Canada
      • Howard I. Wetston, Q.C, Chair and CEO, Ontario Securities Commission
    9:30am Presentation: Evolving Role of the Stock Exchange
    Ruben Lee, CEO, Oxford Finance Group
    9:50am Panel Discussion: Evolving Role of the Stock Exchange

    This session will examine the trends and recent developments related to stock exchanges, including how their role has developed and where exchanges are headed in an era of consolidation and rapid technological innovation.

    Moderator: Ruben Lee, CEO, Oxford Finance Group

    Panelists:
    • Richard Carleton, CEO, Canadian National Stock Exchange (CNSX)
    • John Carson, Managing Director, Compliax Consulting
    • Ungad Chadda, Senior Vice President, Toronto Stock Exchange.

    10:30am Break
    10:45am Presentation: Update on IIROC Study of “High Frequency Trading”
    Victoria Pinnington, VP, Trading Review & Analysis, IIROC
    11:15am

    Panel Discussion: High Frequency Trading

    This panel will discuss the impact of high frequency trading on Canadian markets, as well as options for how participants can adapt and how regulators can respond.

    Moderator: Tal Cohen, CEO, Chi-X Global

    Panelists:

    • Doug Clark, Managing Director, Research, ITG Canada Corp.
    • Thomas Kalafatis, Executive Director, Head of Prime Brokerage, CIBC World Markets
    • Andrew O’Hara, VP, Business Development, Tradebot Systems Inc.
    • Chris Sparrow, Principal, Chris Sparrow Consulting


    12:00 pm Luncheon Break
    1:00pm

    Presentation: Where the Market Was and Where it is Now

    Tracey Stern, Manager, Market Regulation, Ontario Securities Commission
    1:15pm

    Panel Discussion: The Impact of Competition on Trading, Liquidity and Cost

    Panelists will discuss the consequences of multiple markets from both a regulatory and business perspective, and whether the benefits have outweighed the costs.

    Moderator: Wendy Rudd, SVP, Market Regulation & Policy, IIROC

    Panelists:

    • Alison Crosthwait, Market Structure Professional
    • Craig Gaskin, Managing Director, Head of Trading, TD Asset Management Inc.
    • Andrew Jappy, EVP & Group CIO, Canaccord Financial
    • Jos Schmitt, CEO, Alpha Group

    2:00pm

    Panel Discussion: What’s Next for the Market and Regulators?

    This discussion will examine the risks and challenges for regulators, market participants and investors, including the implications of global regulatory policy developments on Canada's capital markets.

    Moderator: Susan Greenglass, Director, Market Regulation, OSC

    Panelists:

      • Peter Haynes - Managing Director, Index Products, Institutional Equities, TD Securities
      • Jamie Selway - Managing Director, Head of Liquidity Management, Investment Technology Group
      • Robert Young - CEO, Liquidnet Canada

    2:45pm Closing Remarks
    3:00pm Event Conclusion
  • OSC Vice-Chair Mary Condon speaks at the Strategy Institute: Compliance & Risk Management Strategies Summit for Portfolio Managers and Fund Managers

    June 13, 2012

    Speech

    OSC Vice-Chair Mary Condon speaks at the Compliance & Risk Management Strategies Summit for Portfolio Managers and Fund Managers

    Securities Regulators’ Leadership in Protecting Investors and Promoting Market Confidence

    Date: June 13, 2012
    Time: 12:00 AM - 12:00 AM
    Location: Metropolitan Hotel Toronto, 108 Chestnut St., Toronto, Ontario
    Event Details:

    "Securities Regulators’ Leadership in Protecting Investors and Promoting Market Confidence" - Mary Condon, Vice-Chair , OSC

    Click here to view →

  • OSC Executive Director Maureen Jensen speaks at the Institute of Corporate Directors, Ontario Chapter

    March 20, 2012

    Speech

    OSC Executive Director Maureen Jensen speaks at the Institute of Corporate Directors, Ontario Chapter

    OSC Strategy in Action. Remarks to the Institute of Corporate Directors, Ontario Chapter

    Date: March 20, 2012
    Time: 12:00 AM - 12:00 AM
    Location: Toronto, Ontario
    Event Details:

    OSC Strategy in Action. Remarks to the Institute of Corporate Directors, Ontario Chapter
    Maureen Jensen, Executive Director, OSC

    Click here to view →

  • OSC Dialogue 2011

    November 11, 2011 @ 8:00 AM - 2:45 PM

    Other

    OSC Dialogue 2011

    Each year OSC Dialogue brings hundreds of market participants together on issues and trends facing the capital markets. Discussing where we are and where the markets are going is critical to ensuring a strong and healthy regulatory system.

    Date: November 11, 2011
    Time: 8:00 AM - 2:45 PM
    Location: Toronto Board of Trade, 1 First Canadian Place, Toronto, Ontario
    Event Details:

    Agenda

    8:00 a.m. Registration
    8:30 a.m. Welcome and Chair’s Opening Remarks
    Howard Wetston, Chair, Ontario Securities Commission

    Remarks

    Audio:   Broadband (5.7MB)     Dial-up (2.8MB)

    9:00 a.m. Market Structure: The Impact, Risks and Implications of Consolidation and Innovation
    This discussion focused on trends and recent developments related to market infrastructure in Canada and globally, including exchange consolidation and advances in trading technology.

    Moderator: Maureen Jensen, Executive Director, Ontario Securities Commission
    Panelists: Susan Greenglass, Director, Market Regulation, Ontario Securities Commission
    AnneMarie Ryan, President, AMR Associates Inc.
    Kevan Cowan, President, TSX Markets and Group Head of Equities
    Ruben Lee, CEO and founder, Oxford Finance Group

    Audio:   Broadband (11.5MB)       Dial-up (5.7MB)

    10:00 a.m. Strategic Issues in Investor Protection
    This session featured an interactive discussion on current issues affecting investors, including the role of disclosure, and provided an update on emerging initiatives underway aimed at engaging investors in the regulatory process.

    Moderator: Mary Condon, Vice-Chair, Ontario Securities Commission
    Panelists: Anita Anand, Chair, Ontario Securities Commission Investor Advisory Panel
    Phil Khoury, Director, The Navigator Company Pty Ltd.

    Audio:   Broadband (12.7MB)       Dial-up (6.3MB)

    11:00 a.m. Securities Law Enforcement in a Rapidly Changing Environment
    This session provided an update on current priorities and initiatives to strengthen securities law enforcement, including a discussion of the unique challenges in conducting international enforcement investigations.

    Moderator: James Turner, Vice-Chair, Ontario Securities Commission
    Panelists: Tom Atkinson, Director, Enforcement, Ontario Securities Commission
    Joel Wiesenfeld, Partner, Torys

    Audio:   Broadband (12.1MB)       Dial-up (6.0MB)

    12:00 p.m. Speaker
    The Honourable Dwight Duncan
    Minister of Finance, Chair of Management Board of Cabinet, Deputy Premier

    Remarks

    12:15 p.m. Lunch
    Ian C.W. Russell, President and Chief Executive Officer, Investment Industry Association of Canada
    "Running a Gauntlet of Deflationary Pressures: The Challenges Facing Both Investors and Issuers in a Time of Uncertainty"

    Remarks

    1:30 p.m. Concurrent Break-out Sessions
    1. M&A Trends and Outlook
    This session discussed the impact of recent Commission M&A decisions on issuers and directors and also addressed OSC policy initiatives including those related to poison pills and related party transactions.

    Panelists: James Turner, Vice-Chair, Ontario Securities Commission
    Naizam Kanji, Deputy Director, Corporate Finance, Ontario Securities Commission
    William Braithwaite, Senior Partner, Stikeman Elliott

    Audio:   Broadband (15.4MB)       Dial-up (7.7MB)

    2. Investor Issues
    This session discussed current retail investor issues, the use of investor research to better inform regulatory developments and current investor focused initiatives underway by the OSC.

    Panelists: Rhonda Goldberg, Director, Investment Funds, Ontario Securities Commission
    Susan Silma, Director, Compliance & Registrant Regulation, Ontario Securities Commission
    Rob Carrick, Columnist, The Globe and Mail
    Dr. Ed Weinstein, President, The Brondesbury Group
    Michael Wissell, Senior Vice President, Ontario Teachers’ Pension Plan

    Audio:   Broadband (17.6MB)       Dial-up (8.8MB)

    3. Regulatory Outlook
    This session discussed the OSC's involvement in and response to domestic and international regulatory developments, including key reform initiatives relating to OTC derivatives and other G20 commitments.

    Panelists: Tula Alexopoulos, Director, Office of Domestic & International Affairs, Ontario Securities Commission
    Kevin Fine, Director, Derivatives, Ontario Securities Commission
    Monica Kowal, General Counsel, Ontario Securities Commission

    Audio:   Broadband (16.2MB)       Dial-up (8.1MB)

    2:45 p.m. Event Close
  • OSC Executive Director Maureen Jensen speaks at the SMARTS Surveillance Conference

    September 14, 2011

    Speech

    The Road from Data to Knowledge: The Challenge for Regulators

    The Road from Data to Knowledge: The Challenge for Regulators

    Date: September 14, 2011
    Time: 12:00 AM - 12:00 AM
    Location: New York
    Event Details:

    Topic: "The Road from Data to Knowledge: The Challenge for Regulators Speech to the SMARTS Surveillance Conference in New York"
    Maureen Jensen, Executive Director, OSC

    Click here to view →

  • OSC Chair Howard Wetston speaks at The Economic Club of Canada

    February 23, 2011

    Speech

    OSC Chair Howard Wetston to speak at The Economic Club of Canada

    Strong Regulation, Strong Capital Markets

    Date: February 23, 2011
    Time: 12:00 AM - 12:00 AM
    Location: One King West Hotel, Toronto, Ontario
    Event Details:

    Howard Wetston, sets out the OSC’s approach to its priorities of investor protection and effective enforcement. Mr. Wetston will also elaborate on the OSC’s leadership role in responding to the current major issues facing the capital markets, including market structure, derivatives and product regulation.

    "Strong Regulation, Strong Capital Markets" - Speech to The Economic Club of Canada

    Click here to view →