Investment funds and structured products
The Ontario Securities Commission (OSC) regulates investment funds that sell securities in Ontario. An investment fund that sells securities in Ontario must comply with the applicable requirements of Ontario’s Securities Act and any related rules of the OSC.
The primary regulatory requirements applicable to investment funds that sell securities in Ontario cover four main areas:
- prospectus offerings
- fund operations
- ongoing disclosure
- marketing and sales
Many of these requirements vary depending on the type of investment fund.
Investment funds that do not sell securities to the public are generally subject to fewer regulatory requirements than investment funds that offer securities to the public.