Registrant Outreach: Interesting Conduct Files

OSC Registrant Outreach Seminar
22 juillet 2025
14h00  -  15h30
Webinar

Staff of the Registration, Inspections and Examinations Division of the OSC will discuss a forthcoming publication of noteworthy cases that resulted in regulatory action on the registration of individuals and firms. The discussion will focus on what stakeholders can learn from examples of registrant/applicant misconduct identified during the work of the Registrant Conduct Team.

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Who should attend

  • Registered representatives, ultimate designated persons, chief compliance officers, legal counsel of registrants and other interested stakeholders (e.g., IFMs, PMs, EMDs, MFDs and SPDs).
  • Applicants
  • Compliance staff or authorized filing representatives who review and submit application forms.

Why should you attend

Greater understanding of the regulatory tools used by the Registrant Conduct Team, and helpful guidance about how to avoid and mitigate the risks of non-compliance with Ontario securities law.