Annual Summary Report for Dealers, Adviser and Investment Fund Managers

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July 21, 2016

The Ontario Securities Commission (OSC) today published an Annual Summary Report, which sets out expectations for firms and individuals directly regulated by the OSC.

OSC Staff Notice 33-747 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers describes the ongoing efforts of the OSC's Compliance and Registrant Regulation Branch undertaken during the Fiscal Year 2015-2016 including registration and compliance activities, policy initiatives and new programs.

“Our Notice summarizes the current trends we identified in compliance reviews and registration, and provides valuable information on initiatives our branch is currently involved in” said Debra Foubert, Director of Compliance and Registrant Regulation at the OSC. “We encourage registrants to read our Notice and use it as a self-assessment tool and it is a great way to keep informed of the changes to the regulatory landscape.”

The Notice will also be published in the OSC Bulletin on July 28, 2016.

The OSC remains committed to continuing its dialogue with registrants, as industry engagement is paramount to ensuring strong regulatory compliance. Our Registrant Outreach program continues to be a top priority. Any questions regarding the Report can be addressed to:

Stratis Kourous
Senior Accountant
Compliance and Registrant Regulation
(416) 593-2340
[email protected]