The Ontario Securities Commission (OSC)’s Registration, Inspections and Examinations (RIE) Division has published OSC Staff Notice 33-759 − Registration, Inspections and Examinations Division − 2025 Annual Report (the Annual Report).
The RIE Division of the OSC is responsible for the registration and ongoing supervision of firms and individuals who are in the business of trading in, or advising on, securities or commodity futures and firms that manage investment funds in Ontario. The RIE Division is also responsible for conducting compliance examinations of certain regulated market participants in Ontario, including the enhanced risk-based oversight of the Canadian Investment Regulatory Organization (CIRO).
The Annual Report summarizes the activities of the RIE Division for the fiscal year April 1, 2024 – March 31, 2025.
OSC Staff Notice 33-759 − Registration, Inspections and Examinations Division − 2025 Annual Report is available for download from the websites 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.