Industry

Calendar of Events


Registrant Outreach offers a series of free educational seminars to registrants and other industry participants to help them understand their regulatory requirements.

Click on the seminars below to see more details, including a description of the seminar and the benefits of attending. Space is limited, so sign up early.



Exempt market review

Date: Session A: Webinar
November 24, 2015
Session B: In-Person
November 25, 2015
Time: 2:00 p.m. – 4:00 p.m. 2:00 p.m. – 4:00 p.m.

Location for In-person Session: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON
Description: The seminar will focus on amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106). The amendments came into force on May 5, 2015 and modified certain existing prospectus exemptions and introduced new prospectus exemptions. Also, the seminar will discuss additional capital raising exemptions that are expected to come into force later this year, namely an offering memorandum exemption and a crowdfunding exemption.
Who should attend: Chief compliance officers and ultimate designated persons of registrants that deal in the exempt market. Individuals involved in capital raising, including dealing representatives at exempt market dealer firms.
Benefits:
  • Understand the prospectus exemptions available as a result of amendments to NI 45-106
  • Gain insight into how these changes may impact compliance and oversight of exempt market distributions at your firm
Documents: November 24 and 25, 2015 Sessions: Exempt market review
Webinar video - The OSC exempt market reform initiative


Annual summary report for dealers, advisers and investment fund managers

Date: Session A: Webinar
October 20, 2015
Session B: In-Person
October 22, 2015
Time: 2:00 p.m. – 4:00 p.m. 2:00 p.m. – 4:00 p.m.

Location for In-person Session: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON
Description: This seminar will highlight key policy initiatives and trends that are outlined in the Compliance and Registrant Regulation (CRR) Branch’s annual summary report that will be published in the fall of 2015. The discussion will also focus on deficiencies identified during our compliance reviews, with examples of acceptable and non-acceptable practices.
Who should attend: Registered representatives, chief compliance officers and ultimate designated persons of registrant firms.
Benefits:
  • Gain an awareness of the issues and projects that CRR focused on during the year, including key deficiencies identified during our compliance reviews and related best practices
  • Hear about emerging issues that may require consideration from a compliance standpoint
Documents:

October 20 and 22, 2015 Sessions: Annual Summary Report for Dealers, Advisers and Investment Fund Managers



Participation fees calculation


Date: Session A: Webinar
September 15, 2015
Session B: In-Person
September 17, 2015
Time: 2:00 p.m. – 3:00 p.m.

2:00 p.m. – 3:00 p.m.

Location for In-person Session: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON
Description: This mini-seminar will give registrants and unregistered capital markets participants a refresher on the calculation and filing of the participation fees, in advance of the December 1, 2015 filing deadline. Staff will discuss key issues and provide examples of common errors related to the calculation and filing of the participation fees. The seminar will also highlight the changes to OSC Rule 13-502 Fees that are applicable to registrants and unregistered capital markets participants, which came into effect on April 6, 2015.
Who should attend: Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.
Benefits:
  • Understand the calculation of participation fees
  • Awareness of the amendments to OSC Rule 13-502 that have come into effect since the prior year’s calculation
Documents:

Ongoing amendments to National Instrument 31-103


Date: Session A: Webinar
February 4, 2015
Session B: In-Person
February 5, 2015
Time: 2:00 p.m. - 4:00 p.m.

2:00 p.m. - 4:00 p.m.

Location for In-person Session: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON
Description: This seminar will provide an overview of the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) which were published October 16, 2014 and come into force on January 11, 2015. The amendments include substantive changes and also technical adjustments to codify certain exemption orders, clarify the legislative intent of NI 31-103 and provide further guidance as necessary where ambiguities existed.
Who should attend: Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.
Benefits:
  • Understand the amendments to NI 31-103
  • Enhance compliance with requirements under NI 31-103 and where impacted, NI 33-109 Registration Information
Documents:

February 4 and 5, 2015 Sessions: Amendments to National Instrument 31-103



Implementation of Client Relationship Model 2


Date: Session A: Webinar
April 21, 2015
Session B: In-Person
April 23, 2015
Time: 2:00 p.m. - 4:00 p.m. 2:00 p.m. - 4:00 p.m.
Location for In-person Session: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON


Description: As a follow up to the November 2013 session on CRM2, this seminar will discuss the upcoming July 2015 and 2016 implementation dates for the CRM2 requirements on performance reporting and cost disclosure requirements, recap key provisions already in force and discuss the regulatory expectations.
Who should attend: Registered representatives, chief compliance officers and ultimate designated persons of registrant firms.
Benefits:
  • Gain an awareness of the upcoming roll out period and what we expect will be happening during this time
  • Discuss how you and your firm may implement next stages of CRM2
Documents:


Elements of an effective compliance system


Date: Session A: Webinar
June 23, 2015
Session B: In-Person
June 25, 2015
Time: 2:00 p.m. - 4:00 p.m. 2:00 p.m. - 4:00 p.m.
Location for In-person Session: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON


Description: The seminar will focus on key aspects of the policies and procedures manual and ensuring they have been implemented effectively. Also, the seminar will discuss the role and responsibilities of the ultimate designated person and chief compliance officer, including the annual report to the Board, and also touch on emerging issues that compliance staff should consider when designing or enhancing their compliance systems.
Who should attend: Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.
Benefits:
  • Gain insight into expectations on the policies and procedures manual and the role of the compliance officer, including the requirement of the compliance officer to report to the Board
  • Hear about emerging issues that may require consideration from a compliance standpoint, and the associated regulatory expectations
Documents: