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ARTICLE · 02 OCTOBER 2023

OSC Staff Summary Report For Investment Fund And Structured Product Issuers

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On September 13, 2023, the Ontario Securities Commission (OSC) published Staff Notice 81-734 Summary Report for Investment Fund and Structured Product Issuers.

CanadaStrategy
AUM Law
AUM Law
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On September 13, 2023, the Ontario Securities Commission (OSC) published Staff Notice 81-734 Summary Report for Investment Fund and Structured Product Issuers (the IFM Report). The IFM Report provides an overview of the key operational and policy initiatives of the Investment Funds and Structured Products Branch of the OSC for the fiscal year ended March 31, 2023.

The IFM Report is organized into the following four key areas: 1) operational highlights; 2) regulatory policy initiatives; 3) emerging issues and initiatives impacting investment funds; and 4) stakeholder outreach. We believe the following will be of most interest to our readers.

A. Prospectus Review of ESG-Related Funds – The OSC provided their findings on the reviews they conducted related to Canadian Securities Administrator (CSA) Staff Notice 81-334 ESG-Related Investment Fund Disclosure Staff Notice regarding the continuous disclosure, sales communications, and portfolio holdings of ESG-related

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