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.





Overview of the registration process

Session A: Webinar - March 3rd (10am - 12pm)
or
Session B: Webinar - March 6th (10am - 12pm)


Registrant series – Exempt market dealers

Session A: Webinar - April 22nd
or
Session B: In-Person - April 24th


Registrant series – Portfolio managers

Session A: Webinar - May 20th
or
Session B: In-Person - May 22nd


Registrant series – Investment fund managers

Session A: Webinar - June 24th
or
Session B: In-Person - June 26th


Complaint handling and the Ombudsman for Banking Services and Investments process

Session A: Webinar - Oct 7th
or
Session B: In-Person - Oct 9th


Participation fees calculation

Session A: Webinar - November 4th
or
Session B: In-Person - November 6th





Date: Session A: Webinar
March 3, 2014
Session B: Webinar
March 6, 2014
Time: 10:00 a.m. – 12:00 p.m.

10:00 a.m. – 12:00 p.m.

Description: This seminar will provide an overview of the registration process, including the use of the National Registration Database (NRD). We will also describe the various registration forms required under National Instrument 33-109 Registration Information and common issues that have been noted in their completion. There will also be a discussion of current issues that may impact a firm’s registration application and the implications of late or deficient registration filings.
Who should attend: Individuals responsible for the initial and ongoing maintenance of registration filings for the firm and its registered and permitted individuals.
Benefits:
  • Understand the registration process and the role of the NRD system
  • Gain an awareness of registration-related issues

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Date: Session A: Webinar
April 22, 2014
Session B: In-Person
April 24, 2014
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: Staff from the exempt market dealer (EMD) team will discuss key issues relating to EMD operations and the associated regulatory concerns. There will also be discussion of common EMD deficiencies noted during compliance reviews and ongoing OSC initiatives that impact EMDs.
Who should attend: Dealing representatives and chief compliance officers and ultimate designated persons of EMD firms.
Benefits:
  • Understand the issues that are unique or prevalent to the EMD registration category
  • Gain an awareness of OSC policy initiatives that affect operations of EMDs
  • Hear about common deficiencies identified during EMD compliance reviews and related best practices

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Date: Session A: Webinar
May 20, 2014
Session B: In-Person
May 22, 2014
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: Staff from the portfolio manager team will discuss key issues relating to advisers and the associated regulatory concerns. There will also be discussion of common adviser deficiencies noted during compliance reviews and ongoing OSC initiatives that impact advisers.
Who should attend: Advising representatives and chief compliance officers and ultimate designated persons of portfolio manager firms.
Benefits:
  • Understand the issues that are unique or prevalent to the portfolio manager registration category
  • Gain an awareness of OSC policy initiatives that affect operations of advisers
  • Hear about common deficiencies identified during compliance reviews and related best practices

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Date: Session A: Webinar
June 24, 2014
Session B: In-Person
June 26, 2014
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: Staff from the investment fund manager (IFM) team will discuss common deficiencies noted during IFM compliance reviews and/or recent sweeps and provide guidance in key areas. Updates on branch initiatives that impact IFMs will also be provided. The Investment Funds branch will provide an update on the status of ongoing policy initiatives affecting investment funds.
Who should attend: Chief compliance officers and ultimate designated persons of IFMs.
Benefits:
  • Understand the issues that are unique to IFMs
  • Gain an awareness of OSC initiatives that affect IFM operations
  • Hear about common deficiencies identified during compliance reviews and related best practices

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Date: Session A: Webinar
October 7, 2014
Session B: In-Person
October 9, 2014
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: Representatives from the Ombudsman for Banking Services and Investments (OBSI) will describe the organization, the complaints handling process and other relevant information that dealers and advisers should be aware of as new members of OBSI. We will also describe the expectations of the OSC in handling client complaints and making clients aware of the use of OBSI for dispute resolution.
Who should attend: Individuals responsible for the complaint handling process and those who will liaise with OBSI in the event of an eligible complaint.
Benefits:
  • Understand the new CSA mandated requirement to join OBSI and learn about that organization
  • Gain an awareness of expectations on client communications regarding complaints

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Date: Session A: Webinar
November 4, 2014
Session B: In-Person
November 6, 2014
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: Staff will discuss key issues and common errors related to the calculation and filing of the participation fees. There will also be discussion of the findings from the 2013 desk review of participation fees calculations and a discussion on the proposed changes to OSC Rule 13-502 Fees.
Who should attend: Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.
Benefits:
  • Understand the common errors made in the participation fee filings and those identified during the 2013 desk review of a sample of firms’ participation fees
  • Gain an awareness of OSC proposed changes to the Fees Rule

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