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ARTICLE · 03 SEPTEMBER 2024

Highlights Of The OSC Registrant Report For 2023-24 Relevant To Crypto Asset Trading Platforms

McCarthy Tétrault
McCarthy Tétrault
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On July 26, 2024, the Registration, Inspections and Examinations Division of the Ontario Securities Commission (OSC) published its annual OSC Staff Notice 33-756 – Summary Report for Dealers, Advisers...

CanadaTechnology
TechLex Blog
TechLex Blog
Lori Stein
Lori Stein
Daanish Pasricha
Daanish Pasricha
Shashank Chaddha
Shashank Chaddha
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On July 26, 2024, the Registration, Inspections and Examinations Division of the Ontario Securities Commission (OSC) published its annual OSC Staff Notice 33-756 – Summary Report for Dealers, Advisers and Investment Fund Managers (SN 33-756).

SN 33-756 provides guidance on compliance and registration requirements for registrants, with a particular focus on newly registered firms which are considered high-risk, including crypto asset trading platforms (CTPs).

The Report provides the following guidance specific for CTPs.

Registration Applications

Registration applications for CTPs should be as complete and comprehensive as possible, including detailed information regarding know your client and account appropriateness assessment, know your product, conflicts of interest and custody.

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