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ARTICLE · 02 DECEMBER 2024

Holding It Together – Summary Report For Investment Fund And Structured Product Issuers

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On November 5, the Ontario Securities Commission (OSC) released OSC Staff Notice 81-736 Summary Report for Investment Fund and Structured Product Issuers (the Report) for the OSC...

CanadaFinance and Banking
AUM Law
AUM Law
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On November 5, the Ontario Securities Commission (OSC) released OSC Staff Notice 81-736 Summary Report for Investment Fund and Structured Product Issuers (the Report) for the OSC Investment Management Division (IM Division) for the fiscal year ended March 31, 2024. The Report dives into several topics of interest to registrants, including the new responsibilities of the IM Division, regulatory policy initiatives, and emerging issues being considered by the division. Below is a summary of the Report, with a focus on issues relating to regulatory compliance. Responsibilities off

Responsibilities of the IM Division

the IM Division In support of the OSC's mandate, the IM Division is responsible for administering the regulatory framework for investment funds and portfolio management services that are offered to Ontario investors. The IM Division's key functions include:

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