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.









Date: September 20, 2013
Time: 2:00 – 4:00 p.m.
Location: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON
Description: This seminar will provide an overview of the working capital requirements for registrants under National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. We will discuss common deficiencies we have noted during compliance reviews and from regulatory filings of working capital. There will also be discussion of best practices and the action the OSC may take if a registrant is capital deficient.
Who should attend: Individuals responsible for the preparation and review of working capital calculations at registrants. This may include CCOs, CFOs or other accounting staff.
Benefits:
  • Awareness of regulatory working capital requirements
  • Observe and participate in the completion of a working capital calculation
  • Hear from OSC staff on findings related to working capital calculations and best practices
  • Understand the regulatory action the OSC may take in the case where a registrant is capital deficient and the options available to the registrant in these cases
Presentation slides:

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Date: Session A:
October 22, 2013
Session B:
October 24, 2013
Time: 2:00 p.m. – 4:00 p.m. 10:00 a.m. – 12:00 p.m.
Location: 22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON
22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON
Description: This seminar will provide a description of the OSC compliance review process which is one of the main tools we use to monitor registrants. This will include a discussion on the types of reviews that we perform, the common deficiencies noted and the various ways that compliance review findings are handled.
Who should attend: Most registrants appoint a contact person during a compliance review, usually the Chief Compliance Officer. Individuals who would be responsible for this role and who have a good understanding of the firm’s operations and policies and procedures should attend.
Benefits:
  • Understanding of the OSC’s compliance review process
  • Hear from OSC staff on common deficiencies identified during compliance reviews
  • Understand the regulatory actions the OSC may take in circumstances where significant regulatory weaknesses are identified
Presentation slides:

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Date: Session A:
November 21, 2013
Session B:
November 21, 2013
Time: 2:00 p.m. – 4:00 p.m. 10:00 a.m. – 12:00 p.m.
Location:
22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON
22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON
Description: This seminar will provide an overview of the recent amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, which introduce performance reporting requirements and enhance existing cost disclosure requirements, as well as introduce some new client statement requirements. The amendments are relevant to all categories of registered dealer and registered adviser, with some application to investment fund managers. We will present a walk-through of the key provisions, discuss how the amendments apply to each registrant category, as well as touch on the time frame for implementation.
Who should attend: Registered representatives and individuals responsible for compliance oversight at registered firms, as well as interested investors.
Benefits:
  • Know what the amendments are
  • Understand the investor focused reasons for the amendments
  • Gain an awareness of the transition or roll out period and what we expect will be happening during this time
  • Discuss how you and your firm may implement and roll out this new and improved investor information
Presentation slides:
Additional handouts:

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Date: Session A: Webinar
December 11, 2013
Session B: In Person
December 4, 2013
Time: 2:00 p.m. – 4:00 p.m. 2:00 p.m. – 4:00 p.m.
Location:
22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
Toronto, ON
Description: This seminar will provide an overview of the know your client (KYC) and suitability requirements for registrants under National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. We will also discuss the results of our recent targeted review of registrants to assess their compliance with the KYC, know your product (KYP) and suitability obligations and provide guidance to registrants on best practices in these areas.
Who should attend: Individuals responsible for the collection of KYC information and performing suitability reviews on clients’ investments.
Benefits:
  • Understanding of the common deficiencies related to KYC, KYP and suitability obligations
  • Hear from OSC staff on best practices in these areas
Presentation slides:

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