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

OSC Registrant Outreach Seminar Past Event
Oct 20, 2015
02:00 pm  -  04:00 pm
OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8

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


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portfolio managers