Compliance-related reports, staff notices and email notifications

The Ontario Securities Commission (OSC) promotes compliance with the requirements of Ontario’s Securities Act and Commodities Futures Act and with any related rules and instruments. The OSC also provides additional guidance in relation to securities law.

Annual compliance reports

Other OSC Compliance-related staff notices

The OSC may also issue staff notices on various topics. This includes staff notices that summarize our views and findings on common deficiencies we identified during compliance reviews of firms.

Below is a listing of some recent staff notices issued by the OSC or the Canadian Securities Administrators that are of particular interest to registered firms.