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ARTICLE · 03 OCTOBER 2014

OSC Compliance Review Results

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The OSC has issued the results of the compliance reviews conducted by its compliance and registrant regulation branch over the past year.

CanadaCorporate/Commercial Law
Devin Persaud
Devin Persaud
Laura Paglia
Laura Paglia
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The OSC has issued the results of the compliance reviews conducted by its compliance and registrant regulation branch over the past year.

A full text of OSC Staff Notice 33-745: Compliance and Registrant Regulation- Annual Summary Report for Dealers, Advisors and Investment Fund Managers can be found here.

With respect to registration, it reviews various trends including pre-registration reviews, suggested practices for such reviews, conflicts of interests, outside business activities, individual registration applications and proficiency requirements.

With respect to compliance reviews, general outcomes of reviews in all registration categories are provided. They show an increase from last year in enhanced compliance, the imposition of terms and conditions on registration, the surrender or suspension of registration and referrals to enforcement.

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