Summary Report for Dealers, Advisers and Investment Fund Managers
The Ontario Securities Commission (OSC) today published OSC Staff Notice 33-754 – Summary Report for Dealers, Advisers and Investment Fund Managers (Summary Report). The Summary Report describes the work conducted by the OSC’s Compliance and Registrant Regulation Branch (CRR) during the 2021-2022 fiscal year and discusses important matters impacting registration, outcomes from compliance reviews, recent conduct matters and other ongoing initiatives impacting registrants.
Information provided in the Summary Report is meant to assist registrants with meeting their ongoing regulatory requirements. Firms are encouraged to use the Summary Report as a self-assessment tool to strengthen their systems of compliance, internal controls and supervision.
The Summary Report is available as an interactive, downloadable PDF. To take full advantage of the report’s functionality, we recommend users view it in electronic form. The Summary Report will also be published in the OSC Bulletin October 20, 2022. Any questions regarding the report can be addressed to:
Compliance and Registrant Regulation