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ARTICLE · 21 MAY 2018

Is Your RAQ Ready? 2018 Risk Assessment Questionnaire (RAQ) Due Dates Are Coming Up

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The Ontario Securities Commission (OSC) conducts regular compliance reviews on registrants to ensure firms are in compliance with regulatory requirements.

CanadaCorporate/Commercial Law
Ann Lattanzio
Ann Lattanzio
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The Ontario Securities Commission (OSC) conducts regular compliance reviews on registrants to ensure firms are in compliance with regulatory requirements. The commission gathers information about each firm such as business operations, practices and procedures by sending out risk assessment questionnaires for firms to complete, and will select firms for a compliance review based on a firm's risk ranking.  Registrants can sometimes get caught off guard when they receive the RAQ and find themselves scrambling at the last minute to have the questionnaire completed.  Well if you have not gotten around to submitting your questionnaire, here's a reminder that those deadlines are slowly creeping up...

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