Registrant Outreach: The OSC Compliance Review Process and Effective Compliance Systems (Session A: In-Webinar)

OSC Registrant Outreach Seminar Past Event
Nov 19, 2019
02:00 pm  -  04:00 pm
Webinar

Description:

This seminar will provide an overview of:

  • The who, what, where, why, when and how of the OSC compliance review process.
  • The roles and responsibilities of the ultimate designated person and the chief compliance officer.
  • The key elements of an effective compliance system including:
    • internal controls,
    • day to day monitoring and supervision, and
    • detailed policies and procedures

Who should attend:

Ultimate designated persons, chief compliance officers, individuals involved in the day-to-day compliance functions at registered firms and compliance professionals such as legal counsel and consultants

Benefits:

  • Develop a better understanding of the OSC compliance review process.
  • Gain insight on the factors to consider when developing or enhancing a firm’s compliance system.
  • Hear from OSC Staff on the steps they perform to assess the overall adequacy of a firm’s compliance system.

Documents:

osc webinar