On September 21, 2015, the Ontario Securities Commission’s (OSC) Compliance and Registrant Regulation Branch (CRR) released its Annual Summary Report for Dealers, Advisers and Investment Fund Managers, also known as OSC Staff Notice 33-746 (the Report). The CRR oversees over 1,000 firms and nearly 67,000 individuals in the industry. The Report is divided into five main sections, dealing respectively with (i) new policy initiatives, (ii) registrant outreach, (iii) registration initiatives, (iv) key findings from ongoing compliance reviews and (v) enforcement responses with respect to registrant misconduct.
The 96-page Report is a valuable resource and worth reading in its entirety. This post summarizes a number of the key issues that the Report identifies.
Canadian Securities Law – STIKEMAN ELLIOT – SEPTEMBER 28, 2015.
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