The Ontario Securities Commission (the OSC) announced today its series of Registrant Outreach Programs for 2014. These Programs are a series of free educational seminars to registrants and other industry participants to help them understand their regulatory requirements.
Participants can attend in person or access the programs via webinar. Below are the scheduled program topics for 2014 which will be held between 2:00 p.m. to 4:00 p.m. at the offices of the OSC in Toronto, Ontario.
A copy of the OSC news release is available here.
February 2014
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Topic |
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Session A: Webinar |
February 19, 2014 |
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Session B: In-person |
February 20, 2014 |
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Description |
This seminar will provide an overview of the registration process, including the use of the National Registration Database (NRD). The OSC will also describe the various registration forms required under National Instrument 33-109 Registration Information and common issues that have been noted in their completion. There will also be a discussion of current issues that may impact a firm's registration application and the implications of late or deficient registration filings. |
April 2014
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Topic |
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Session A: Webinar |
April 22, 2014 |
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Session B: In-person |
April 24, 2014 |
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Description |
OSC Staff from the exempt market dealer (EMD) team will discuss key issues relating to EMD operations and the associated regulatory concerns. There will also be discussion of common EMD deficiencies noted during compliance reviews and ongoing OSC initiatives that impact EMDs. |
May 2014
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Topic |
|
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Session A: Webinar |
May 20, 2014 |
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Session B: In-person |
May 22, 2014 |
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Description |
OSC Staff from the portfolio manager team will discuss key issues relating to advisers and the associated regulatory concerns. There will also be discussion of common adviser deficiencies noted during compliance reviews and ongoing OSC initiatives that impact advisers. |
June 2014
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Topic |
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Session A: Webinar |
June 24, 2014 |
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Session B: In-person |
June 26, 2014 |
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Description |
OSC Staff from the investment fund manager (IFM) team will discuss common deficiencies noted during IFM compliance reviews and/or recent sweeps and provide guidance in key areas. Updates on branch initiatives that impact IFMs will also be provided. The Investment Funds branch will provide an update on the status of ongoing policy initiatives affecting investment funds. |
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