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Reports and publications

The Ontario Securities Commission (OSC) publishes various reports and publications on an ongoing basis.

Below is a central resource of everything from corporate publications like annual reports and strategic business plans and priorities, to branch reports for public companies and registrants, to research publications and articles for investors.

Corporate publications

OSC Annual Report, Financial Statements and MD&A

The annual report describes the OSC’s operations, and its activities toward fulfilling its mandate and achieving its priorities. It also includes the OSC’s financial results.

The Management’s Discussion and Analysis (MD&A) contains management’s interpretation of the OSC’s financial performance for the fiscal year.

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Statement of Priorities

Every year, the OSC publishes a Statement of Priorities for the current fiscal year. The Statement of Priorities serves as the guide for the OSC’s ongoing operations.

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OSC Business Plan

The OSC Business Plan sets out the Ontario Securities Commission’s key strategies for three fiscal years and how it plans to accomplish those strategies.

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OSC Service Standards Reporting

The service standards reporting highlights OSC’s performance against standards found in the OSC Service Commitment.

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Regulatory publications

OSC Bulletin

The OSC Bulletin is a weekly publication of the official record of the activities of the Ontario Securities Commission (OSC). 

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Reducing Regulatory Burden Decisions and Recommendations – Status Update

May 27, 2020 - The OSC is providing a status update for the decisions and recommendations published in the Reducing Regulatory Burden in Ontario’s Capital Markets report in November 2019. This status update is consistent with our commitment to provide market updates on the progress of implementing the report’s decisions and recommendations.

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Reducing Regulatory Burden in Ontario’s Capital Markets

November 19, 2019 - The Ontario Securities Commission is moving forward with more than 100 specific actions to reduce burden for market participants doing business in Ontario’s capital markets.

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QuadrigaCX: A Review by Staff of the Ontario Securities Commission

April 14, 2020 - The QuadrigaCX investigative report outlines the events from Quadriga’s inception to its eventual collapse, with a focus on how the platform was run, what caused its collapse, and what happened to clients’ assets. The report also discusses how, in Staff’s assessment, the Quadriga platform involved trading in securities or derivatives.

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IFSP eNews

IFSP eNews aims to provide timely information about regulatory news and issues to investment fund and structured product issuers and their advisors in the form of articles published on a timely, as-needed basis.

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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.

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Corporate Finance Branch Annual Report

December 1, 2022 - The Corporate Finance Annual Report outlines the operational and policy work of the Branch and provides detail on how the Branch carries out its regulatory work in a manner consistent with the OSC’s mandate.

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Compliance and Registrant Regulation Branch Summary Report

July 27, 2023 - The Compliance and Registrant Regulation Branch of the OSC is responsible for the registration and ongoing regulation of firms and individuals who are in the business of trading in, or advising on, securities or commodity futures and firms that manage investment funds in Ontario.

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Research

Artificial Intelligence in Capital Markets – Exploring use cases in Ontario

From the OSC Innovation Office, this report explores the use of artificial intelligence (AI) in Ontario’s capital markets. It highlights current AI use cases, benefits and challenges, and aims to raise awareness of both the opportunities and risks associated with the use of AI in capital markets.

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Research Findings on the Impacts of CRM2 and POS on Investor Knowledge, Attitudes, and Behaviour

The Canadian Securities Administrators (CSA) has published findings from a four-year research study that measured what investors know and think about fees and the performance of their investments, and how they interact with advisers.

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CRM 2 POS 3-year tracking study September 2019 report Document opens in new tab
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Investor research and reports

The Investor Office, who lead the investor engagement, education, outreach and research efforts at the Ontario Securities Commission (OSC), prepares investor-related reports and conducts investor research.

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