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

Registration Applications and OSC’s Whistleblower Program
Date:

Session A: Webinar
November 20, 2018
Register

Session B: In-Person
November 22, 2018
Event Full
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 rules relating to the disclosure of information required by applications for individual registration and the ongoing disclosure obligation for registrants. The seminar will include a discussion of CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration, as well as cases arising since the publication of that notice.
  • Best practices when completing registration applications (including other business activities) and sections of the Form 45-106F1 Report of Exempt Distributions filings as they relate to registrants.
  • The OSC’s Whistleblower Program and discussion of recent developments which may impact registrants.

Who should attend: Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs).
Benefits:
  • Enhanced understanding of Staff’s approach in cases where applicants or registrants may not have satisfied their disclosure obligations under Ontario securities law.
  • Additional guidance on how to correctly complete registration applications and Form 45-106F1 Report of Exempt Distributions.
  • Enhanced understanding of recent amendments to the Securities Act (Ontario) (the “Act”) and learning about findings from a recent desk review of registrants that focused on the anti-reprisal provisions of the Act.


Past seminars

New Custody Rules and CRM2 Refresher
Date:

Session A: Webinar
October 2, 2018

Session B: In-Person
October 9, 2018
Event Full
Time: 2:00 p.m. – 4:00 p.m. 10:00 a.m. – 12:00 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 new Custody Rules that have recently come into effect, focusing on the impact of these rules on registered firms and addressing certain frequently asked questions
  • The CRM2 rules, including highlights of our findings from our recent CRM2 reviews, and guidance and best practices on policies and procedures for preparing CRM2 reports
Who should attend: Registered representatives, ultimate designated persons, chief compliance officers, persons responsible for client reporting, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs).
Benefits:
  • Enhance understanding of the recent changes to Custody Rules that are now in effect
  • Obtain a refresher on the CRM2 rules
Documents:

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: