Programme de visibilité de l’inscrit
Part of the Ontario Securities Commission’s (OSC) role is to administer and promote compliance with securities laws. One of the ways it accomplishes this is through the Registrant Outreach program.
The main purpose of the program is to promote strong, proactive compliance practices by registrants. Registered firms and individuals with strong compliance practices foster confidence in the capital markets and their peers, and promote increased investor protection.
A key element of the program is the increased communication between the OSC and members of the securities industry including chief compliance officers, and other senior officers of registered portfolio managers, investment fund managers, exempt market dealers, and scholarship plan dealers.
The program encourages interactive and open dialogue between registrants and the OSC through:
- easy access to useful, compliance and registration information
- upcoming educational seminars
- a subscription service, or other direct contact methods that enables information sharing
Educational seminars on compliance and registration issues
Free seminars, led by OSC staff and industry representatives, are offered to registrants as part of the OSC’s mission to foster a culture of compliance and to protect investors. Participants will benefit from training on a variety of topics that are specifically tailored to compliance, registration and regulatory issues affecting registrants.
Please refer to the calendar of events for a description of the seminars being offered, the related agendas and to register online. Generally, after the seminar, all presentation materials will be archived under registrant resources on this page. All registrants are encouraged to participate.
Registrant outreach community
The OSC encourages registrants and other industry participants to subscribe to the outreach community newsletters to receive regular updates on issues affecting them. Program email notifications are sent to all chief compliance officers, however, other registrants are welcome to subscribe to become a member of the Registrant Outreach Community and receive email notice of initiatives and publications affecting registrants. These notices will provide subscribers with further direction on compliance related matters and the OSC’s expectations.
Registrant Advisory Committee
The OSC formed its Registrant Advisory Committee (RAC) to serve as a forum to discuss issues and challenges faced by registrants in interpreting and complying with Ontario securities law, including registration and compliance related matters. It also plays a consultative role by providing feedback to the OSC on the development and implementation of policy and rule making initiatives that promote investor protection and fair and efficient capital markets.
Registrant resources brings together recent compliance related materials in an easy, centralized location.
The Topical Guide for Registrants is a collection of compliance and registration guidance materials, organized by topic.
Learn about registration requirements, related rules and instruments, forms, and fees with our registration resources:
- Ongoing requirements for registration, including information on an effective compliance system, business conduct requirements, and financial requirements
- A guide to financial filing requirements
- Risk Assessment Questionnaire
- Navigating an OSC Compliance Review
- Information on OSC Compliance Reviews, including the books and records for each category of registration that would be requested if your firm is selected for review
Contact the Registrant Outreach program
If you have questions related directly to the program or have suggestions for seminar topics, please contact us at [email protected].