Annual Summary Report for Dealers, Adviser and Investment Fund Managers

Delivered by e-mail
July 11, 2017

The Ontario Securities Commission (OSC) today published an Annual Summary Report, which sets out expectations for firms and individuals directly regulated by the OSC.

OSC Staff Notice 33-748 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers describes the ongoing efforts of the OSC's Compliance and Registrant Regulation Branch undertaken during the Fiscal Year 2016-2017 including registration and compliance activities, policy initiatives and new programs.

“Our Annual Report summarizes the current trends we identified in compliance reviews and registration applications, and provides valuable information on initiatives our branch is currently involved in” said Debra Foubert, Director of Compliance and Registrant Regulation at the OSC. “We encourage registrants to read our Notice and use it as a self-assessment tool as it is a great way to keep informed of the changes to the regulatory landscape.”

The Notice will also be published in the OSC Bulletin on July 13, 2017.

The OSC remains committed to continuing its dialogue with registrants, as industry engagement is paramount to ensuring strong regulatory compliance. Our Registrant Outreach program continues to be a top priority. Any questions regarding the Report can be addressed to:

Stratis Kourous
Senior Accountant
Compliance and Registrant Regulation
(416) 593-2340
[email protected]