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Topical Guide for Registrants
The Topical Guide for Registrants is a collection of compliance and registration guidance materials, organized by topic, which has been developed by the Ontario Securities Commission (OSC). It is not an exhaustive list and does not provide references or links to Ontario securities laws. The content of the guide is provided for information purposes only and not as advice.
Registrants may wish to proactively use the guidance material they access through this guide as a self-assessment tool to strengthen their compliance with Ontario securities laws and, as appropriate, to make changes to enhance their systems of compliance, internal controls and supervision. We encourage firms to seek advice from a qualified professional as they conduct their self-assessment, implement any changes, or both.
The Topical Guide for Registrants was last updated on December 10, 2024.
Additional support for registrants
For information related to issuers of publicly-offered investment funds, refer to investment funds and structured products. We also have information about the exempt market such as who needs to register, how issuers sell securities in the exempt market and what investors need to know, as well as online tools to allow users to report exempt distributions and access exempt market data.
See Prospectus exemptions, also see Exempt market dealers (EMDs) ➜ Accredited investor exemption and sale of exempt securities to non-accredited investors
See Portfolio managers and its subtopics, as well as other relevant topics
CSA Staff Notice 31-352 Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations, pages 1-6
Compliance and Registrant Regulation Branch e-mail blast July 27 2015, Monthly Suppression of Terrorism and UN Sanctions Report
OSC Staff Notice 33-734 2010 Compliance and Registrant Regulation Branch Annual Report, pages 20-21
For guidance for use in investment performance reports (under the cost disclosure and performance reporting requirements in NI 31-103), see Reporting to Clients ➜ Investment performance report - use of benchmarks
For general guidance, see Marketing practices ➜ Benchmarks
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 39-40
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 63-66
Companion Policy 23-101CP Trading Rules, section 1.1.1, Part 4
OSC Staff Notice 33-734 2010 Compliance and Registrant Regulation Branch Annual Report, pages 24-25
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Investment funds and investment fund managers ➜ Fiduciary duty - statutory best interest standard and duty of care of investment fund managers
See Compliance system of registered firm ➜ Business continuity plan (BCP)
See Fees - Regulatory fees for market participants ➜ starting with Participation fees
CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 12.1, section 12.2
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 33-35
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 42-44
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 45
CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, p35-36
See Relationship disclosure information (RDI) ➜ Disclosure of operating and transaction charges paid by clients and other compensation paid to firm (guidance on disclosure requirements at beginning of and during client relationship)
See Reporting to clients ➜ Report on charges and other compensation for guidance on disclosure specific to the annual report
See Compliance system of registered firm ➜ Chief Compliance Officer (CCO)
CSA Staff Notice 31-345 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 9 - 10
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 7
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 12 - 13
See Relationship Disclosure Information (RDI) and Reporting to clients
See Exemptions from the requirement to register - advisers ➜ Exemptions from the requirement to register - Commodity Futures Act (Ontario) - dealers
See Fees - Regulatory fees for market participants ➜ Participation fees - Registrants under both the Securities Act and the Commodity Futures Act
Joint CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin 0736-M - Complying with requirements regarding the Ombudsman for Banking Services and Investments
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 87-88
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 16 - 17
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 13.16
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 8
CSA Staff Notice 31-338 Guidance on Dispute Resolution Services - Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 13 - 14
OSC Staff Notice 33-756 Annual Summary Report for Dealers, Advisers and Investment Fund Managers pages 56-57, 60
The OSC Compliance Review Process and Effective Compliance Systems
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 32-33
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 30-31, pages 48-50
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 35 - 36
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 36 - 37
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 25-28
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 35-39
See Over-the-counter (OTC) derivatives ➜ OSC compliance reviews
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 39
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 28
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 14
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 34-35
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 32
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 37 - 38
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 38 - 39
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 27
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 35-36, Appendix A
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 30 - 32
OSC Staff Notice 33-750 Compliance and Registrant Regulation - Summary Report for Dealers, Advisers and Investment Fund Managers, page 30
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 33
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 31
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 36
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 37
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 36
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 32-33
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 33
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 31
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 36
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 25-26
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 30
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 33-34
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 31
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 36 - 37
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 37 - 38
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 26
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 28
CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 31-32
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 46-48
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 39-40
CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments
Notice of Amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 29
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 24-25
See Crowdfunding under MI 45-108 ➜ Restricted dealer funding portal - chief compliance officer
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, part 5 and section 5.2, section 11.3, section 3.4
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 30-31
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 28-29, pages 39-40
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 39 - 40
See Cyber security
Joint CSA/CIRO Staff Notice 31-363 Client Focused Reforms: Review of Registrants' Conflicts of Interest Practices and Additional Guidance, pages 15-17
The Investment Funds Practitioner, publication of the Investment Funds and Structured Products Branch
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 34
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 69
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 11.1
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 30-31
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 29, pages 39-40
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 34
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 53 - 55
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 59 - 60
OSC Staff Notice 33-734 2010 Compliance and Registrant Regulation Branch Annual Report, page 39
See Portfolio managers ➜ Insider status of clients and insider trading rules
Effective Compliance Systems - Exhibit 1: Policies and Procedures Content
The OSC Compliance Review Process and Effective Compliance Systems
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 36-42
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 11.1
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 43 - 44
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 29-30
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 41-42
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 32-33
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 57-58
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 70-71
OSC Staff Notice 33-743 Guidance on Sales Practices, Expense Allocation and other Relevant Areas Developed from the Results of the Targeted Review of Large Investment Fund Managers, page 18
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 21
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 55 - 57
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 55-56
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 54
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 36
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, Part 5, section 5.1, section 11.2
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 30-31
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
Joint CSA/CIRO Staff Notice 31-363 Client Focused Reforms: Review of Registrants' Conflicts of Interest Practices and Additional Guidance, pages 14-15
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 53-54
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 13.4
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 43
CSA Staff Notice 31-334 CSA Review of Relationship Disclosure Practices, pages 7125-7126
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 51
OSC Staff Notice 33-754 Summary Report for Dealers, Advisers and Investment Fund Managers, pages 33-34
Joint CSA/CIRO Staff Notice 31-363 Client Focused Reforms: Review of Registrants' Conflicts of Interest Practices and Additional Guidance, page 4
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 53-54
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 44-45
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 13.4
OSC Staff Notice 33-754 Summary Report for Dealers, Advisers and Investment Fund Managers, pages 33-34
See Flow-through limited partnerships ➜ Finder’s fees paid to entities related to investment fund manager
See Portfolio managers ➜ Trades between client accounts and inter-fund trades (prohibited cross trades)
Joint CSA/CIRO Staff Notice 31-363 Client Focused Reforms: Review of Registrants' Conflicts of Interest Practices and Additional Guidance, page 9-10
OSC Staff Notice 33-752 2021 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 26-27
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 31-32
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 49 - 51
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 13.4
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 30 - 31
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 16-17
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 28-29, page 57
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 58
See Exempt market dealers (EMDs) ➜ Related or connected issuers - inappropriate use by exempt market dealers of investor monies raised through related or connected issuers
Joint CSA/CIRO Staff Notice 31-363 Client Focused Reforms: Review of Registrants' Conflicts of Interest Practices and Additional Guidance , page 7, page 13-14
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 7
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 13
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 40-41
CSA Staff Notice 31-343 Conflicts of interest in distributing securities of related or connected issuers
See Crowdfunding under MI 45-108 ➜ Funding portals - restricted dealing activities - related and connected issuers
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 57 - 58, pages 60 - 62
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 51 - 52, pages 59 - 60
Companion Policy 33-105CP Underwriting Conflicts, page 16
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 13.4, section 13.6
CSA Staff Notice 31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your Client, Know-Your-Product and Suitability Obligations, page 413
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 42-43
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 50-51
See also Conflicts of interest ➜ Outside business activities of registered or permitted individuals
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 13.4
See Over-the-counter (OTC) derivatives ➜ Contracts for difference (CFDs), foreign exchange contracts and similar OTC derivatives offered in Ontario
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Insurance ➜ Insurance requirements for advisers that hold or have access to client assets
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 31
OSC Staff Notice 33-750 Compliance and Registrant Regulation - Summary Report for Dealers, Advisers and Investment Fund Managers, page 33
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 46
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 67-68
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 71 - 73
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 14.6
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 38
CSA Staff Notice 33-321 Cyber Security and Social Media
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 21
OSC Staff Notice 33-754 Summary Report for Dealers, Advisers and Investment Fund Managers, page 40
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Over-the-counter (OTC) derivatives
For guidance on disclosure by specific entities and/or in specific contexts, see specific topics or subtopics. Some helpful topics may be Relationship disclosure information (RDI), Reporting to clients and Investment funds and investment fund managers and Conflicts of interest
See Complaint handling ➜ Dispute resolution service
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 51-52
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, part 14
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 35-36
Compliance and Registrant Regulation Branch e-mail blast February 11, 2014,Requirement to deliver documents electronically to the Ontario Securities Commission (effective February 19, 2014)
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 48
Companion Policy 23-103CP Electronic Trading and Direct Electronic Access to Marketplaces,
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 54-55
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 69
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 47-48
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 66
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 46-47
OSC Staff Notice 33-735 Sale of Exempt Securities to Non-Accredited Investors
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 14-15, page 52
CSA Staff Notice 31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations, pages 4-5, pages 7-8
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 34-35, page 53
OSC Staff Notice 33-740 Report on the Results of the 2012 Targeted Review of Portfolio Managers and Exempt Market Dealers to Assess Compliance with the Know-Your-Client, Know-Your-Product and Suitability Obligations, page 5649
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 50-51
See Conflicts of interest ➜ Related parties, selling securities of
See Know-your-client (KYC), know-your-product (KYP) and suitability requirements ➜ Client-directed trade instructions
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 48-49
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 55
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 61-63
See Know-your-client (KYC), know-your-product (KYP) and suitability requirements ➜ KYC and suitability - general guidance
Also see Know-your-client (KYC), know-your-product (KYP) and suitability requirements ➜ Client-directed trade instructions
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 55-56
Please also see: Marketing practices and associated subtopics
And also see Relationship disclosure information (RDI) ➜ General guidance, and other relevant sub-topics
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 56-57
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 14
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 7.1
See Conflicts of interest ➜ Related parties, selling securities of
See also Prospectus exemptions and subtopics
See Prospectus exemptions ➜ Reports of exempt distributions
See Prospectus exemptions ➜ Resale restrictions on exempt securities
See Exempt market dealers (EMDs) ➜ Accredited investor exemption and sale of exempt securities to non-accredited investors
See Compliance system of registered firm ➜ Supervision of dealing representatives by exempt market dealers
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 56 - 57
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 21-23
CSA Staff Notice 31-346 Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 8.18
Amendment of OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 45 - 47, pages 48 - 49
Companion Policy 13-502CP Fees, section 2.5, 6.2
Companion Policy 13-503CP (Commodity Futures Act) Fees, section 2.5
Amendment of OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees
Notice of Amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees
Companion Policy 13-502CP Fees
Companion Policy 13-503CP (Commodity Futures Act) Fees
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 49
Changes to Companion Policy 13-503CP (Commodity Futures Act) Fees to OSC Rule 13-503 (Commodity Futures Act) Fees
Changes to Companion Policy 13-502CP Fees to OSC Rule 13-502 Fees
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 48
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 39 - 41
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 18
Companion Policy 13-502CP Fees. section 17, sections 33-36
Companion Policy 13-503CP (Commodity Futures Act) Fees, section 3.3, sections 5.1-5.3
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 31
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 29
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 22-23
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 47 - 48
Companion Policy 13-502CP Fees, part 4
Companion Policy 13-503CP (Commodity Futures Act) Fees, part 3
OSC Staff Notice 33-754 Summary Report for Dealers, Advisers and Investment Fund Managers, pages 45-46
OSC Staff Notice 33-755 Summary Report for Dealers, Advisers and Investment Fund Managers, pages 47-49
OSC Staff Notice 33-756 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 40-44, 63-64
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 31
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 29
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 73-74
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 23, page 28
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 63-64
Companion Policy 13-502CP Fees, section 9
Companion Policy 13-503CP (Commodity Futures Act) Fees, section 2.8
OSC Staff Notice 33-754 Summary Report for Dealers, Advisers and Investment Fund Managers, pages 45-46
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 22-23
Companion Policy 13-502CP Fees, section 3
Companion Policy 13-503CP (Commodity Futures Act) Fees, section 2.2
Amendment of OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees, page 3
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications.
See Conflicts of Interest ➜ Conflicts arising from fees charged to clients
See Reporting to clients ➜ Report on charges and other compensation
See Investment funds and investment fund managers ➜ Fees and commissions - Calculation of performance fees
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications.
Modernization of Investment Fund Product Regulation - Alternative Mutual Funds, page 6
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 45
Companion Policy 52-107CP Acceptable Accounting Principles and Auditing Standards, section 1.1
The Investment Funds Practitioner, publication of the Investment Funds and Structured Products Branch
See Investment funds and investment fund managers ➜ Net asset value (NAV) errors and adjustments, including responsibility for NAV, NAV errors and NAV error correction
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 33
CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations
OSC Staff Notice 52-723 Office of the Chief Accountant Financial Reporting Bulletin
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 37
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, sections 12.10 - 12.11
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 34
Companion Policy 52-107CP Acceptable Accounting Principles and Auditing Standards, part 2.7
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications.
See Flow-through limited partnerships ➜ "Finder's fees paid to entities related to investment fund manager"
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications.
The Investment Funds Practitioner, publication of the Investment Funds and Structured Products Branch
See Registration - Firms ➜ Exemptions from the requirement to register - foreign dealers and advisers
See Registration - Firms ➜ Exemptions from the requirement to register - foreign dealers and advisers
See Registration - Firms ➜ Commodity Futures Act (Ontario)
See Over-the-counter (OTC) derivatives ➜ Contracts for difference (CFDs), foreign exchange contracts and similar OTC derivatives offered in Ontario
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Investment funds and investment fund managers ➜ beginning with "Fund Facts"
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Investment funds and investment fund managers ➜ Independent Review Committee (IRC)
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 89
Companion Policy 24-101CP Institutional Trade Matching and Settlement
CSA Staff Notice 24-314 Preparing for the Implementation of T+2 Settlement: Letter to Registered Firms
CSA Staff Notice 24-305 Frequently Asked Questions about National Instrument 24-101 - Institutional trade Matching and Settlement and Related Companion Policy (Revised)
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 66-67
See Registration - Firms ➜ Exemptions from the requirement to register - Commodity Futures Act (Ontario) - dealers
See Fees - Regulatory fees for market participants ➜ Participation fees - Capital markets participation fees, general guidance
See Registration - Firms ➜ Exemptions from the requirement to register - advisers
See also Registration - Firms ➜ Exemptions from the requirement to register - foreign dealers and advisers
See Registration - Firms ➜ Exemptions from the requirement to register - dealers and underwriters
See also Registration - Firms ➜ Exemptions from the requirement to register - foreign dealers and advisers
See Registration - Firms ➜ Exemptions from the requirement to register - Commodity Futures Act (Ontario) - dealers
See Registration - Firms ➜ Investment fund managers - non-resident investment fund managers
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Financial reporting and subtopics
OSC Staff Notice 52-723 Office of the Chief Accountant Financial Reporting Bulletin
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications.
See Reporting to clients ➜ Investment fund managers - security holder statement requirements for clients of investment fund managers
OSC Staff Notice 33-743 Guidance on Sales Practices, Expense Allocation and other Relevant Areas Developed from the Results of the Targeted Review of Large Investment Fund Managers, page 5792
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 79
See Portfolio managers ➜ Trades between client accounts and inter-fund trades (prohibited cross trades)
See Financial reporting ➜ Investment funds - International Financial Reporting Standards (IFRS) and NI 81-106 Investment Fund Continuous Disclosure
OSC Staff Notice 33-756 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
See Sales practices (mutual funds). Also see Marketing practices.
See Reporting to clients ➜ Security holder statements and orphaned accounts
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 64-65
See Compliance system of registered firm ➜ Oversight of third party service providers (outsourcing) - all registrants and Oversight of third party service providers (outsourcing) - investment fund managers
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 44
See also Portfolio managers ➜ Trades between client accounts and inter-fund trades (prohibited cross trades)
OSC Staff Notice 33-734 2010 Compliance and Registrant Regulation Branch Annual Report, pages 33-34
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 53 - 55, page 77
See various subtopics under Registration - Firms including:
Registration - Firms ➜ Investment fund managers;
Registration - Firms ➜ Investment fund managers - fund complexes or groups with more than one investment fund manager;
Registration - Firms ➜ non-resident investment fund managers
See Registration - Firms ➜ Investment fund managers - non-resident investment fund managers
OSC Staff Notice 33-750 Compliance and Registrant Regulation - Summary Report for Dealers, Advisers and Investment Fund Managers, pages 35 - 36
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 56-63
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 70-73
Companion Policy to National Instrument 81-105 Mutual Fund Sales Practices
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 65
OSC Staff Notice 33-743 Guidance on Sales Practices, Expense Allocation and other Relevant Areas Developed from the Results of the Targeted Review of Large Investment Fund Managers, page 5778, Appendix A
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 71 - 72
The Investment Funds Practitioner, publication of the Investment Funds and Structured Products Branch
See Exempt market dealers (EMDs) ➜ Accredited investor exemption and sale of exempt securities to non-accredited investors
See also Know-your-client (KYC), know-your-product (KYP) and suitability requirements ➜ Delegation of KYC & suitability obligations, general guidance
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 37
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 39 - 41
CSA Staff Notice 31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your Client, Know-Your-Product and Suitability Obligations, page 409
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 13.3
OSC Staff Notice 33-740 Report on the Results of the 2012 Targeted Review of Portfolio Managers and Exempt Market Dealers to Assess Compliance with the Know-Your-Client, Know-Your-Product and Suitability Obligations, page 5651
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 61 - 63
See also Relationship disclosure information (RDI) ➜ Suitability obligation disclosure
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 14.2
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 52 - 53, pages 65 - 67
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, sections 13.2, section 13.3
CSA Staff Notice 33-315 Suitability Obligation and Know Your Product
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 14-16, pages 53-54
OSC Staff Notice 33-756 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
See Portfolio managers ➜ Insider status of clients and insider trading rules
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 45-46, pages 47-48
CSA Staff Notice 33-315 Suitability Obligation and Know Your Product
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 14-16, pages 53-54
OSC Staff Notice 33-734 2010 Compliance and Registrant Regulation Branch Annual Report, pages 26-27
See On-line advising or dealing services ➜ On-line advisory services by portfolio managers
Also see Exempt market dealers (EMDs) ➜ Accredited investor exemption and sale of exempt securities to non-accredited investors
CSA Staff Notice 33-315 Suitability Obligation and Know Your Product
See Crowdfunding under MI 45-108 ➜ Restricted dealer funding portal - restriction on lending
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Portfolio managers, also see topic/subtopic for specific subject matter
See Reporting to clients ➜ Market value of investments and accounts
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Crowdfunding under MI 45-108 ➜ Funding portals - advertising and general solicitation
See Investment funds and investment fund managers ➜ Sales communications by publicly offered investment funds
See Complaint handling ➜ Dispute resolution service
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 27-28
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 22-23
CSA Staff Notice 31-323 Guidance Relating to the Registration Obligations of Mortgage Investment Entities
OSC Staff Notice 81-722 Mortgage Investment Entities and Investment Funds
See Registration - General guidance ➜ National Registration Database (NRD)
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Investment funds and investment fund managers ➜ Net asset value (NAV) errors and adjustments, including responsibility for NAV, NAV errors and NAV error correction
See Complaint handling ➜ Dispute resolution service
See Over-the-counter (OTC) derivatives ➜ Contracts for difference (CFDs), foreign exchange contracts and similar OTC derivatives offered in Ontario
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 60-63
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 52-54, pages 58-59
CSA Staff Notice 31-342 Guidance for Portfolio Managers Regarding Online Advice
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 69 - 70
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 46-47
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 27
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 16-19
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 27
OSC Media Release June 19, 2015 OSC Sets Out Expectations for Businesses Planning to Operate Peer-to Peer Lending Websites
See Conflicts of interest ➜ Outside business activities of registered or permitted individuals
See Compliance system of registered firm ➜ Oversight of third party service providers (outsourcing) - investment fund managers, also see subtopic Oversight of third party service providers (outsourcing) - all registrants
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 55-56
Companion Policy 91-507CP Trade Repositories and Derivatives Data Reporting, CP Parts 1, 3
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 15 - 16
Multilateral CSA Staff Notice 91-306 Compliance Review Findings for Reporting Counterparties
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 55-56
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 86-87
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 15 -16
OSC Staff Notice 91-704 Compliance Review Plan for OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 15 - 16
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 9
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 9-10
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 13
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 43 - 44
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 18, pages 32-33
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 39 - 41
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 37-38
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 43 - 44
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 11.9, section 11.10
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 31-32
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 39 - 41
See Relationship disclosure information (RDI) ➜ Permitted clients and relationship disclosure
See Registration - Individuals ➜ Permitted individuals
See Conflicts of Interest ➜ Conflicts arising from trades alongside clients
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 42
CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 46-48
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 55 - 77
CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations
See Compliance system of registered firm ➜ Internal controls and policies and procedures
See Reporting to clients ➜ Portfolio managers - account statement delivery obligations and use of consolidated account statements
See Know-your-client (KYC), know-your-product (KYP) and suitability requirements ➜ Delegation of KYC & suitability obligations by portfolio managers to referral agents
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 14.10
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 61-63
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 57 - 58
See Know-your-client (KYC), know-your-product (KYP) and suitability requirements ➜ KYC and suitability - general guidance
See Know-your-client (KYC), know-your-product (KYP) and suitability requirements ➜ Portfolio managers and KYC in Investment Policy Statements (IPSs) and Investment Management Agreements (IMAs)
See On-line advising or dealing services ➜ On-line advisory services by portfolio managers
See Personal trading
See Compliance system of registered firm ➜ Internal controls and policies and procedures - portfolio management and trading practices
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 52-54
OSC Staff Notice 33-754 Summary Report for Dealers, Advisers and Investment Fund Managers, page 44
See Compliance system of registered firm ➜ Supervision of advising representatives, associate advising representatives and research analysts by portfolio managers
OSC Staff Notice 33-750 Compliance and Registrant Regulation - Summary Report for Dealers, Advisers and Investment Fund Managers, page 38
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 61-62
See also Investment funds and investment fund managers ➜ Prohibited investments for investment funds
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 73-74
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 13.5
OSC Staff Notice 33-743 Guidance on Sales Practices, Expense Allocation and other Relevant Areas Developed from the Results of the Targeted Review of Large Investment Fund Managers, page 5794
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 40-42
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 55 - 58
The Investment Funds Practitioner, publication of the Investment Funds and Structured Products Branch
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
For prohibited managed account and inter-fund transactions (cross trades), see Portfolio Managers ➜ Trades between client accounts and inter-fund trades (prohibited cross trades)
For prohibited investments for investment funds, see Investment funds and investment fund managers ➜ Prohibited investments for investment funds
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
Summary of Key Capital Raising Prospectus Exemptions in Ontario, page 4
Companion Policy 45-106CP Prospectus Exemptions, section 3.5
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 11 - 12, pages 68 - 69
See also Exempt market dealers (EMDs) ➜ Accredited investor exemption and sale of exempt securities to non-accredited investors
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 36
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 50-55
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 46-47
Companion Policy 45-106CP Prospectus Exemptions, section 1.9
Companion Policy 45-501CP Ontario Prospectus and Registration Exemptions, section 3.3
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 50-55
Summary of Key Capital Raising Prospectus Exemptions in Ontario, page 7
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 11
OSC Staff Notice 33-754 Summary Report for Dealers, Advisers and Investment Fund Managers, pages 28-29
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 48-50
Summary of Key Capital Raising Prospectus Exemptions in Ontario, pages 1 - 3
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 11
Companion Policy 45-106CP Prospectus Exemptions
See Offering memoranda ➜ Guidance on use of offering memoranda in connection with distributions in reliance on certain prospectus exemptions
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 36
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 51-52
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 50-55
Summary of Key Capital Raising Prospectus Exemptions in Ontario, page 9
Exempt Market Review - Backgrounder, page 2
OSC Staff Notice 33-754 Summary Report for Dealers, Advisers and Investment Fund Managers, pages 28-29
CSA Staff Notice 45-325 Filing Requirement and Fee Payable for Exempt Distributions involving Fully Managed Accounts
The Investment Funds Practitioner, publication of the Investment Funds and Structured Products Branch
OSC Staff Notice 51-728 Corporate Finance Branch 2016-2017 Annual Report, page 32
OSC Staff Notice 33-735 Sale of Exempt Securities to Non-Accredited Investors, page 5424
Companion Policy 45-106CP Prospectus Exemptions, section 5.1
Companion Policy 45-501CP Ontario Prospectus and Registration Exemptions, section 6
CSA Staff Notice 45-308 (Revised) Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions
Exempt Market Review - Backgrounder, page 4-5
Companion Policy 45-106CP Prospectus Exemptions, section 6.1
Companion Policy 45-501CP Ontario Prospectus and Registration Exemptions, section 7.1
See Crowdfunding under MI 45-108 ➜ resale of securities distributed under the crowdfunding prospectus exemption
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 10 - 13
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 10
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 10 - 11
CSA Staff Notice 45-323 (Revised) Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions
Multilateral CSA Staff Notice 45-322 Potential Concerns with the Stucture of Rights Offerings
OSC Staff Notice 51-727 Corporate Finance Branch - 2015-2016 Annual Report
Exempt Market Review - Backgrounder, page 4
Summary of Key Capital Raising Prospectus Exemptions in Ontario, page 11
See Crowdfunding under MI 45-108 ➜ Funding portals - advertising and general solicitation
Companion Policy 45-106CP Prospectus Exemptions, section 3.1 - section 3.3.1
Companion Policy 45-501CP Ontario Prospectus and Registration Exemptions, section 3.6
CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations
CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 41 - 42
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations,section 11.5, section 11.6
See Know-your-client (KYC), know-your-product (KYP) and suitability requirements ➜ Delegation of KYC & suitability obligations, general guidance and Delegation of KYC & suitability obligations by portfolio managers to referral agents
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 76-78
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 69-73
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 79 - 81
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 17-18
OSC Staff Notice 34-701 Publication of Decisions of the Director on Registration Matters under Part XI of the Securities Act (Ontario) ("Opportunities to be Heard")
See Director's Decisions on OSC website
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 76-78
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 69-73
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 79 - 80
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 17-19
OSC Staff Notice 34-701 Publication of Decisions of the Director on Registration Matters under Part XI of the Securities Act (Ontario) ("Opportunities to be Heard")
Procedures for Opportunities to be Heard Before Director’s Decisions on Registration Matters made under the Statutory Powers Procedures Act
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 82
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 17-19
OSC Staff Notice 34-701 Publication of Decisions of the Director on Registration Matters under Part XI of the Securities Act (Ontario) ("Opportunities to be Heard"),
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 17
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 13
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 20 - 21
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 14
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 19 - 20
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 12-13
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 11-12
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers page 19-20, page 21
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 13
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 18 - 19
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 28
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 16-17
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 27 - 28
OSC Staff Notice 33-734 2010 Compliance and Registrant Regulation Branch Annual Report, page 11
Companion Policy 33-109CP Registration Information, section 3.1
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 23 - 25, pages 26 - 27
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 28 - 29
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 26
Companion Policy 33-109CP Registration Information, section 1.4, section 3.2, Appendix A
OSC Staff Notice 33-754 Summary Report for Dealers, Advisers and Investment Fund Managers, page 41
See Over-the-counter (OTC) derivatives ➜ Contracts for difference (CFDs), foreign exchange contracts and similar OTC derivatives offered in Ontario
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 26
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 21-23
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, Part 8, section 8.24 - 8.26, Section 8.26.1
OSC Staff Notice 33-755 Summary Report for Dealers, Advisers and Investment Fund Managers, page 40
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 21-23
CSA Staff Notice 31-346 Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, Part 8, section 8.5, section 8.5.1, section 8.6, section 8.18 section 8.19, section 8.22.1
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 27
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 96-97
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 21-23
CSA Staff Notice 31-346 Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 14 -15
Companion Policy 35-101CP Conditional Exemption from Registration for United States Broker-Dealers and Agents
OSC Staff Notice 32-505 Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario, Pages 1-2
OSC Companion Policy 32-505CP Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario
OSC Staff Notice 33-750 Compliance and Registrant Regulation - Summary Report for Dealers, Advisers and Investment Fund Managers, page 29
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, CP Part 8
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 27, page 62
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 16
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 1.3
Companion Policy 33-109CP Registration Information, section 1.1, section 2.7
Companion Policy 13-502CP Fees, section 7.2
Companion Policy 13-503CP (Commodity Futures Act) Fees, section 5.2
See also Registration - Firms ➜ Changes to registration information of firms
Companion Policy 33-109CP Registration Information, section 3.2
Companion Policy 13-502CP Fees, sections 7.1, 7.3
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 21-23
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 25-26
Companion Policy 32-102CP Registration Exemptions for Non-Resident Investment Fund Managers, Appendix A
See Mortgage investment entities (MIEs) ➜ Registration obligations - investment fund manager, adviser, dealer
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 14-17
See OSC LaunchPad website
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 16-19
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 19-22
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 26-27
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 28, pages 63 - 68
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 16-19
For on-line services and the requirement to register, see On-line advising or dealing services
OSC Staff Notice 33-750 Compliance and Registrant Regulation - Summary Report for Dealers, Advisers and Investment Fund Managers, page 26
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 27
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 1.3
See Split share companies ➜ Portfolio manager requirement
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 25-28
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 26 - 27
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, CP Part 10
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 25
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 21-22
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 21-22
Note to users: The Dealers, Advisers and Investment Funds Managers section of the OSC website also contains guidance on the registration process under the heading Getting Registered.
OSC Staff Notice 33-750 Compliance and Registrant Regulation – Summary Report for Dealers, Advisers and Investment Fund Managers, pages 24 - 25
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 23-30
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 16-17, pages 19-21, pages 25-28, pages 73-74
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 24-28
OSC Staff Notice 33-734 2010 Compliance and Registrant Regulation Branch Annual Report, pages 12-15
Companion Policy 33-109CP Registration Information, section 2.1
See also the NRD website, under "About" and "FAQ"
See Registrant misconduct ➜ Opportunities to be heard (OTBHs) and settlement agreements
Companion Policy 33-109CP Registration Information, section 2.3
See also the NRD User Guide guidance on changing/surrendering individual categories
Companion Policy 33-109CP Registration Information, section 2.2
See also the NRD User Guide guidance on changing/surrendering individual categories
See Registration - Firms ➜ Business trigger for trading and advising
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 32 - 33
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 27
Companion Policy 33-109CP Registration Information, section 1.4, section 2.4, section 4.2, Appendix A
See Registration - Firms ➜ Commodity Futures Act (Ontario)
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 29 - 30
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 16
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 1.3
Companion Policy 33-109CP Registration Information, section 1.1, section 2.7
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 24-25
Companion Policy 33-109CP Registration Information, section 1.3, section 3.5
See also the NRD User Guide guidance on notice of termination and updating/correcting termination information
See Registration - Individuals ➜ Adding, surrendering or changing categories
OSC Staff Notice 33-750 Compliance and Registrant Regulation - Summary Report for Dealers, Advisers and Investment Fund Managers, pages 24-25
See also Registration - Individuals ➜ Changes to registration information of individuals
See also Registration - Individuals ➜ Reactivation/reinstatement of registration
Companion Policy 33-109CP Registration Information, section 2.2
See also the NRD User Guide guidance on initial submissions
See also Registration - Individuals ➜ Changes to registration information of individuals
Companion Policy 33-109CP Registration Information, section 2.4
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 3.3, section 3.11 and 3.12, section 4.2, Appendix C
CSA Staff Notice 31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 22
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 33 - 34
See also the NRD User Guide guidance, "How to Apply for an Exemption"
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, Part 3 Division 1, Section 3.3, section 3.4, Appendix C
OSC Staff Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 26-28
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 33 - 34
See also Registration - Individuals ➜ Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 31
Companion Policy 33-109CP Registration Information, section 2.2, section 2.5, section 4.2
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 25-26, pages 55-56
See Registration - Firms ► Trading with or advising non-Ontario investors
See Registration - Firms ➜ Commodity Futures Act (Ontario)
See Conflicts of interest, subtopics starting with Related or connected issuers
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 64
CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
OSC Staff Notice 33-746 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 58 - 60
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 14.2
CSA Staff Notice 31-334 CSA Review of Relationship Disclosure Practices
See Scholarship plan dealers (SPDs) and scholarship plans and other education savings plan products ➜ Relationship Disclosure Information (RDI)
CSA Staff Notice 31-334 CSA Review of Relationship Disclosure Practices, page 7129
OSC Staff Notice 33-740 Report on the Results of the 2012 Targeted Review of Portfolio Managers and Exempt Market Dealers to Assess Compliance with the Know-Your-Client, Know-Your-Product and Suitability Obligations, pages 5651-5652
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 45-46
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 64-65
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 36-37
CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
CSA Staff Notice 31-345 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance, Pages 8-9
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 14.14
Compliance and Registrant Regulation Branch e-mail blast March 7, 2014, Planning tips for implementing the "CRM2" amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, pages 1-2
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 64-65
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 36-37
CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
CSA Staff Notice 31-345 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance, Pages 8-9
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 14.14.1
Compliance and Registrant Regulation Branch e-mail blast March 7, 2014, Planning tips for implementing the "CRM2" amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, pages 1-2
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 38-39
CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
CSA Staff Notice 31-345 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, CP Part 14, Division 5
See also Client Relationship Model (CRM2) ➜ CRM2 rule implementation
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 64-65
CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
CSA Staff Notice 31-345 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance, Page 13-14
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, sections 14.18, section 14.20
CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, Part 14 Division 5
See also Compliance system of registered firm, ➜ Oversight of third party service providers (outsourcing) - all registrants and Oversight of third party service providers (outsourcing) - investment fund managers
CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 58
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 14 - 15
OSC Staff Notice 33-742 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 53-54
OSC Staff Notice 33-738 2012 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 64-65
CSA Staff Notice 31-345 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance, Page 9-10
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 14.14.2
Compliance and Registrant Regulation Branch e-mail blast March 7, 2014, Planning tips for implementing the "CRM2" amendments to ``Registration Requirements, Exemptions and Ongoing Registrant Obligations, page 2
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, page 64-65
CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
CSA Staff Notice 31-345 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance, Page 11-13
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 14.17, section 14.20, Appendix D
Compliance and Registrant Regulation Branch e-mail blast March 7, 2014, Planning tips for implementing the "CRM2" amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, page 2
See Scholarship plan dealers (SPDs) and scholarship plans and other education savings plan products ➜ Client reporting requirements
OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers, page 46
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 36-37
CSA Staff Notice 31-345 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance, Page 8
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 14.12
See Compliance Consultants ➜ Risk assessment questionnaire (RAQ)
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Investment funds and investment fund managers ➜ Sales practices (mutual funds)
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, section 14.16, section 14.19
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 36 - 37, pages 48 - 51
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 38 - 39, pages 57 - 58
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 41 - 42
CSA Staff Notice 31-354 Suggested Practices for Engaging with Older or Vulnerable Clients
OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 36 - 37, pages 48 - 51
OSC Staff Notice 33-747 2016 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 41 - 42
White Label Materials - User Guide
1. Working respectfully with older and vulnerable clients
2. Identifying and responding to signs of financial exploitation
3. Identifying and responding to signs of diminished mental capacity
4. Trusted contact person (TCP)
4a. Form - You're my trusted contact person
5. Placing a temporary hold in instances of financial exploitation or diminished mental capacity
6. Additional resources
OSC Staff Notice 33-748 2017 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 39-40
CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations
OSC Staff Notice 33-745 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers, pages 33-34
See Capital requirements and working capital calculations ➜ Subordinated debt and subordination agreements
See Compliance system of a registered firm ➜ Business continuity plan (BCP)
See Know-your-client (KYC), know-your-product (KYP) and suitability requirements ➜ Suitability of trades, advice and/or investments
See Compliance system of registered firm ➜ beginning with Supervision
See Reporting to clients ➜ Trade confirmations
See Relationship Disclosure Information (RDI) ➜ Name of registrant used in registrable activities and Marketing practices ➜ Names and titles - using titles that imply registration; inappropriate use of business or trade names
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Portfolio managers ➜ Trades between client accounts and inter-fund trades (prohibited cross trades)
See Compliance system of registered firm ➜ Inadequate compliance systems and effective compliance systems - all registrants and Inadequate compliance systems and effective compliance systems - exempt market dealers; for general guidance on UDPs see Compliance system of registered firm, subtopic Ultimate Designated Person (UDP)
See Conflicts of interest ➜ Related parties, selling securities of
See Exempt market dealers (EMDs) ➜ Permitted activities for EMDs
See Prospectus Exemptions ➜ Underwriters - availability of prospectus exemptions generally
Note to users: The OSC’s Investment Funds and Structured Products Branch provides guidance for issuers of publicly-offered investment funds. You can locate guidance for public fund issuers by clicking: Investment Funds homepage and Investment Funds Practitioner publications
See Investment funds and investment fund managers ➜ Valuation of securities held in investment funds
See Registration - Firms ➜ Venture capital and private equity