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Commission des
valeurs mobilières
de l'Ontario

October 27, 2014

OSC Releases ‘Topical Guide’ to Assist Registrants

TORONTO – The Ontario Securities Commission (OSC) today launched a Topical Guide for Registrants, a new web-based tool which allows registrants to search for and access OSC registration and compliance related guidance by subject matter area.

The guide is organized alphabetically with links to relevant information compiled by OSC staff.  This resource provides a single source destination for OSC and CSA guidance on current initiatives including the Client Relationship Model (CRM2). 

“The topical guide is part of the OSC’s ongoing Registrant Outreach efforts to enhance communication with registrants and provide tools to assist them with maintaining effective compliance systems,” said Debra Foubert, Director, Compliance and Registrant Regulation at the OSC.

The resource was developed in response to feedback from stakeholders and references approximately 50 guidance documents, including:

  • OSC Annual Summary Reports for Dealers, Advisers and Investment Fund Managers;
  • OSC and CSA Staff Notices, such as guidance on know-your-client, know-your-product and suitability obligations;
  • Companion Policies to NI 31-103 Registration Requirements and NI 33-109 Registration Information Requirements.

The topical guide for registrants is available on the OSC website on the Registrant Outreach page.


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