The Ontario Securities Commission (OSC) has published OSC Staff Notice 33-752 – Summary Report for Dealers, Advisers and Investment Fund Managers (The Summary Report). The Summary Report describes the work conducted by the OSC’s Compliance and Registrant Regulation Branch (CRR) during the 2020-2021 fiscal year and discusses important matters impacting registration, outcomes from compliance reviews, recent conduct matters and other ongoing initiatives impacting registrants.
Information provided in the Summary Report is meant to assist registrants with meeting their ongoing regulatory requirements. Firms are encouraged to use the Summary Report as a self-assessment tool to strengthen their systems of compliance, internal controls and supervision. The Summary Report is available as an interactive, downloadable PDF. The Summary Report will also be published in the OSC Bulletin August 19, 2021
OSC Staff Notice 33-752 – Summary Report for Dealers, Advisers and Investment Fund Managers is available for download from the website of the Ontario Securities Commission.
For more information, please call Barbara Hendrickson at BAX Securities Law (647) 403-4606.
This publication is not intended to constitute legal advice. No one should act on it or refrain from acting on it without consulting with a lawyer. BAX does not warrant or guarantee the accuracy or currency or completeness of the publication. No part of this publication may be reproduced without the prior written permission of BAX Securities Law.
