Secteur


The OSC SME Institute
Calendar of Upcoming Seminars


The OSC SME Institute offers a series of free educational seminars to small and medium enterprises (SMEs) to help them understand the securities regulatory requirements for being or becoming a public company in Ontario. Click here to view materials from previous SME Institute seminars.




Mineral Disclosure Best Practices
(November 12, 2014)



Continuous Disclosure Best Practices
(December 10, 2014)



Raising Money in the Capital Markets
(January 21, 2015)



Calculating Participation Fees
(February 11, 2015)








Date: Wednesday, February 11, 2015
Time: 1:30 p.m. - 3:30 p.m.
Location: OSC 22nd floor Meeting Room
Description: 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 To 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
Register to attend in person Register for webinar

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Past seminars

Below you will find a list of seminars that took place during last years session.




Date: Wednesday, January 21, 2015
Time: 1:30 p.m. - 3:30 p.m.
Location: OSC 22nd floor Meeting Room
Description: 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.
Who To 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



Date: Wednesday, December 10, 2014
Time: 1:30 p.m. - 3:30 p.m.
Location: OSC 22nd floor Meeting Room
Description: 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 To 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 Documents:
  • Slides: Continuous Disclosure Obligations




Date: Wednesday, November 12, 2014
Time: 1:30 p.m. - 3:30 p.m.
Location: OSC 22nd floor Meeting Room
Description: 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 Documents:




Date: September 18, 2012
Description: 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 Documents:
  • Slides: Continuous Disclosure Special Topics I - Risk and Cash Flows
  • Risk Disclosures Illustrative Examples



Dates: September 25, 2012 (Session A)
November 6, 2012 (Session B)
(Note: Sessions A and B covered the same content.)
Description: 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 Documents:
  • Slides: Mineral Disclosure Best Practices
  • News Release Case Study: Take a Chance Mining Ltd.
  • News Release Exercise Answer Sheet: Take a Chance Mining Ltd.



Date: Wednesday, October 17, 2012
Description: 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 Documents:
  • Slides: Continuous Disclosure Obligations



Date: Tuesday, October 23, 2012
Description: 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 Documents:
  • Slides: Disclosure Examples
  • Slides: Prospectus Requirements and Review Process



Date: Thursday, November 15, 2012
Description: 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 Documents:
  • Slides: Raising capital - A Primer for SMEs



Dates: December 4, 2012 Financial Services, Retail and Manufacturing
December 5, 2012 Mining (Session A) (Note: Sessions A and B covered the same content.)
December 6, 2012 Technology/Communications
January 17, 2013 Mining (Session B) (Note: Sessions A and B covered the same content.)
Description: 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 Documents:
  • Slides: Industry Series: Financial Services, Retail and Manufacturing
  • Slides: Industry Series: Mining (Session A - December 5, 2012)
  • Slides: Industry Series: Mining (Session B - January 17, 2013)
  • Slides: Industry Series: Technology/Communications (including FS Disclosure Examples Handout)
  • News Release Case Study (Technology/Communications): Take a Chance Technology Ltd.



Date: Tuesday, January 22, 2013
Description: 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 Documents:
  • Slides: Auditing Small and Medium Enterprises



Date: Thursday, January 24, 2013
Description: This seminar provided practical guidance to assist you in preparing your executive compensation and corporate governance disclosures in your annual information circular.
Presentation Documents:
  • Slides: Preparing your Annual Information Circular



Date: Tuesday, February 5, 2013
Description: 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 Documents:
  • Slides: Regulatory Overview for Directors and Audit Committees



Date: Tuesday, May 28, 2013
Description: 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 Documents:
  • Slides: MD&A Cash Flow Disclosure Examples
  • Slides: Continuous Disclosure Special Topics II



Date: Wednesday, June 5, 2013
Description: 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 Documents:
  • Slides: How to Write and Effective MD&A




Date: Monday, December 9, 2013
Description: 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 Documents:




Date: Tuesday, January 21, 2014
Description: 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:
  • Slides: Continuous Disclosure Best Practices




Date: Wednesday, February 12, 2014
Description: 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:
  • Slides: Raising Money in the Capital Markets

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