Ontario Securities Commission issues 2024 Risk Assessment Questionnaire

TORONTO – The Ontario Securities Commission (OSC) today issued the 2024 Risk Assessment Questionnaire (RAQ). The OSC uses a risk-based approach to oversee and monitor its registrants. Information collected through the RAQ supports those functions and evidence-based decision-making.

Registrants must complete the RAQ by June 19, 2024. The questionnaire must be completed and submitted through the OSC’s Electronic Filing Portal, and access to this is provided in the email sent to registrants on May 8, 2024. The OSC is also providing additional resources to support registrants completing the RAQ:

• a user guide and PDF version of the RAQ for reference,
• frequently asked questions,
• a list of OSC contacts to provide assistance,
• information on the outreach webinar for registrants on completing the RAQ.

Any registrants who were active as of December 31, 2023 that did not receive the RAQ should contact [email protected] as soon as possible. Registrants are also encouraged to attend the outreach webinar taking place on May 23, 2024.

The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. Investors are urged to check the registration of any persons or company offering an investment opportunity and to review the OSC investor materials available at https://www.osc.ca.

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