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Commission des
valeurs mobilières
de l'Ontario

September 21, 2015

OSC Publishes Summary Report for Dealers, Advisers and Investment Fund Managers

TORONTO – The Ontario Securities Commission (OSC) today published OSC Staff Notice 33-746 Annual Summary Report for Dealers, Advisers and Investment Fund Managers. The Notice describes the ongoing efforts of the OSC’s Compliance and Registrant Regulation Branch undertaken during the Fiscal Year 2014-2015 including registration and compliance activities, policy initiatives and new programs and will appear in the OSC Bulletin on September 24, 2015.

“Our Notice summarizes new initiatives and their expected impact on registrants as well as current trends we identified in compliance reviews and registration,” said Debra Foubert, Director of Compliance and Registrant Regulation at the OSC. “The Notice will help keep registrants abreast of changes to their regulatory obligations; we encourage registrants to read our Notice and use it as a self-assessment tool.”

The Notice focuses primarily on registered individuals and firms directly overseen by the OSC (66,836 individuals and 1,071 firms including exempt market dealers, scholarship plan dealers, investment fund managers and portfolio managers). This year, in order to better prepare new registrants, the OSC launched a new pre-registration review process, to help registrants understand and meet their compliance obligations from the outset.

Registrant outreach is a central focus for the OSC; open communication allows registrants and regulators to work together to promote confidence in Ontario’s capital markets. In addition to this Notice, Staff’s efforts include guidance through timely information sessions on critical emerging issues and the publication of staff notices and online resources such as the Topical Guide for Registrants. Any questions regarding the Notice can be addressed to Merzana Martinakis at

The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices and to foster fair and efficient capital markets and confidence in the capital markets. Investors are urged to check the registration of any persons or company offering an investment opportunity and to review the OSC investor materials available at


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