Industry

Calendar of Events

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

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

Past Seminars

The OSC Compliance Review Process and Effective Compliance Systems
Date: Session A: Webinar
November 19, 2019
 
Session B: In-Person
November 20, 2019
 
Time: 2:00 p.m. - 4:00 p.m. 2:00 p.m. - 4:00 p.m.
Location for In-person Session: Osgoode Hall
1 Dundas Street West
26th Floor, Classroom B
Toronto, ON M5B 2H1
Description:

This seminar will provide an overview of:

  • The who, what, where, why, when and how of the OSC compliance review process.
  • The roles and responsibilities of the ultimate designated person and the chief compliance officer.
  • The key elements of an effective compliance system including:
    • internal controls,
    • day to day monitoring and supervision, and
    • detailed policies and procedures
Who should attend: Ultimate designated persons, chief compliance officers, individuals involved in the day-to-day compliance functions at registered firms and compliance professionals such as legal counsel and consultants.
Benefits:
  • Develop a better understanding of the OSC compliance review process.
  • Gain insight on the factors to consider when developing or enhancing a firm’s compliance system.
  • Hear from OSC Staff on the steps they perform to assess the overall adequacy of a firm’s compliance system.
Documents:
 

Amendments to the Investment Fund rules for Alternative Mutual Funds
Date: Session A: Webinar
May 14, 2019
Session B: In-Person
May 15, 2019
Time: 2:00 p.m. - 4:00 p.m. 1:00 p.m. - 3:00 p.m.
Location for In-person Session: Osgoode Hall, Classroom B
1 Dundas Street West
Toronto, ON M5B 2H1
Description:

This seminar will provide an overview of the recent amendments to NI 81-102 & NI 81-101 that have recently come into effect with respect to Alternative Mutual Funds.

Who should attend: Registered representatives, ultimate designated persons, chief compliance officers and legal counsel of IFMs and PMs.
Benefits:
  • Enhance understanding of the revised regulation for Alternative Mutual Funds now in effect.
Documents:
 

Compliance with the Proceeds of Crime Money Laundering and Terrorist Financing Act
Date:

Session A: Webinar
February 19, 2019

Session B: In-Person
February 21, 2019
Time: 2:00 p.m. - 4:00 p.m. 2:00 p.m. - 4:00 p.m.
Location for In-person Session: Ontario Heritage Centre
10 Adelaide Street East, Gallery Room
Toronto, ON M5C 1J3
Description:

The Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) will be conducting a seminar. This seminar is designed to address the implementation and maintenance of a compliance program as well as client identification, record keeping and reporting obligations in accordance with the Proceeds of Crime Money Laundering and Terrorist Financing Act (PCMLTFA). FINTRAC will address this by providing an overview of:

  • Securities dealers’ PCMLTFA obligations, the examination process and assessment approach with a focus on a compliance program’s overall effectiveness;
  • Common deficiencies observed in examinations conducted in this sector and best practices; and
  • The role and importance of Securities dealers in submitting suspicious transaction reports.
Who should attend: Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs).
Benefits:
  • Enhanced understanding of the client identification, recordkeeping and reporting obligations in accordance with the PCMLTFA.
  • Enhanced understanding of FINTRAC’s examination process and common deficiencies observed across securities dealers and advisors.