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OSC publishes annual summary report to assist registrants

  • Securities - OSC Image

Sep 25, 2014

On September 25, the Ontario Securities Commission published an Annual Summary Report, which sets out expectations for firms and individuals directly regulated by the OSC.

OSC Staff Notice 33-745 – 2014 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers prepared by the Compliance and Registrant Regulation Branch is designed to enhance the understanding by firms and individuals of their obligations under Ontario securities law. The report summarizes new and proposed rules, OSC initiatives impacting registrants and highlights key findings from compliance reviews of registrants and guidance to address and prevent any deficiencies raised in the reviews.

Review the Annual Summary Report.

Correction list for hyphenation

These words serve as exceptions. Once entered, they are only hyphenated at the specified hyphenation points. Each word should be on a separate line.