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.




Upcoming seminars



Past seminars

Completing the Risk Assessment Questionnaire
Date:

Session A: Webinar
May 1, 2018

Session B: In-Person
May 3, 2018

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 assist registrants in completing the 2018 Risk Assessment Questionnaire (RAQ). The RAQ is a useful tool in identifying high risk areas of a registrant’s business and assisting CRR staff in executing its risk-based approach to compliance field reviews. The seminar will highlight the key changes in the 2018 RAQ, touch on frequently asked questions and walk participants through areas of the RAQ which have been challenging for registrants in the past.

Who should attend: Individuals who will be involved in the completion of the RAQ for their registrant firm.
Benefits: Understand the purpose of the RAQ, staff’s expectations for completing the RAQ and make the completion process more effective and efficient for your firm.
Documents:


Cyber Security
Date:

Session A: Webinar
February 13, 2018

Session B: In-Person
February 15, 2018
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 focus on cyber security matters.
The topics that will be discussed include
:

  • An overview of the common types of cyber threats and the risks associated with these threats.
  • Practical solutions to protect your business from cyber threats.
  • Results from a survey (conducted by the CSA) of cyber security practices of registered firms.
Who should attend: Ultimate designated persons, chief compliance officers, and information technology staff of registered firms.
Benefits:
  • Enhance understanding of cyber security threats.
  • Obtain practical solutions on how to counter cyber risk and protect your business from these threats.
Documents: