- Registered Firms in Ontario
- Educational Seminars
Calendar of Events
- Registrant Outreach Community
- Registrant Committee
- Registrant Resources
Topical Guide for Registrants
- Contact Us
The mission of the Registrant Outreach program is to promote strong proactive compliance practices by registrants by opening the lines of communication between the Ontario Securities Commission and Chief Compliance Officers, as well as other senior officers of registered portfolio managers, investment fund managers, exempt market dealers and scholarship plan dealers.
To encourage an interactive and open dialogue between registrants and the OSC, this dedicated webpage will:
- provide registrants with easy access to useful, compliance related information
- outline upcoming educational seminars
- facilitate ongoing communication through a subscription service, or through other direct contact methods described below
Registered firms and individuals with strong compliance practices foster confidence in the capital markets and promote increased investor protection. Registrants are encouraged to visit this page frequently to enhance their awareness of current issues in the capital markets that are important to them, and about upcoming outreach initiatives in which they may wish to participate.
Registered Firms in Ontario
The OSC oversees approximately 1,300 firms and 67,000 individuals in Ontario that trade or advise in securities or commodity futures, or act as investment fund managers. Although the OSC registers firms in the categories of mutual fund dealer and investment dealer, these firms and individuals are directly overseen by their self-regulatory organizations, the Mutual Fund Dealers Association of Canada and the Investment Industry Regulatory Organization of Canada, respectively.
Education and outreach to registrants are important elements of the OSC Registrant Outreach program. As part of its mission to foster a culture of compliance and to protect investors, the outreach program is offering a series of seminars on a variety of topics that are specifically tailored to compliance and registration issues affecting registrants. Led by OSC staff and industry representatives, participants will benefit from the training on regulatory issues affecting registrants.
The seminars are offered free of charge. Please visit the Calendar of Events to see a description of the seminars being offered, the related agendas and to register online. All presentation materials will be archived under Registrant Resources after the seminar.
Registrant Outreach Community
The OSC encourages registrants and other industry participants to join the Outreach Community to receive regular updates on issues affecting them. If you are not a Chief Compliance Officer that is already receiving E-mail blasts from us, sign up to become a member of the Registrant Outreach Community and receive notice of initiatives and publications affecting registrants. These notices will provide subscribers with further direction on compliance related matters and the OSC’s expectations.
To receive regular updates, join the Registrant Outreach Community.
The OSC formed its Registrant Advisory Committee (RAC) to serve as a forum to discuss issues and challenges faced by registrants in interpreting and complying with Ontario securities law, including registration and compliance related matters.
The RAC also plays a consultative role by providing feedback to the OSC on the development and implementation of policy and rule making initiatives that promote investor protection and fair and efficient capital markets.
Debra Foubert, Director of the Compliance and Registrant Regulation Branch, Chairs the RAC. The RAC is composed of members representing the different registration categories and business models overseen by the OSC. The Committee meets approximately four to six times per year, in addition to possible ad hoc meetings as required, with members serving two-year terms.
The Registrant Resources section of the webpage provides registrants and other industry participants with easy, centralized access to recent compliance related materials, many of which are contained elsewhere on the OSC website.
Topical Guide for Registrants
The Topical Guide for Registrants provides registrants and other industry participants with easy, centralized access to compliance and registration guidance materials, organized by topic. The guidance materials in the Topical Guide for Registrants can also be found elsewhere on the OSC website.
- Ongoing requirements for registration, including information on an effective compliance system, business conduct requirements, and financial requirements
- A guide to financial filing requirements
- Form 13-502F4 Capital Markets Participation Fee Calculation
- OSC Electronic Filing Portal
OSC Compliance reviews
- 2016 Risk Assessment Questionnaire (for reference purposes only) in PDF
- Attachment to 2016 Risk Assessment Questionnaire for fund managers who manage non-prospectus qualified funds in Excel
- 2016 Risk Assessment Questionnaire: Frequently Asked Questions (FAQ) and User Guide in PDF
- Navigating an OSC Compliance Review
- Information on OSC Compliance Reviews, including the books and records for each category of registration that would be requested If Your Firm is Selected for Review
Registrant conduct matters
Staff Notices and communications with registrants
Information for investment funds and structured products
Frequently asked questions
- November 18, 2014 Email blast - OSC Capital Markets Participation Fees Calculation - Frequently Asked Questions (FAQs)
- CSA Staff Notice 31-337 Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance as of February 27, 2014
- Registration Rules FAQ (in PDF)
- Frequently Asked Questions: Receiving Calls from the OSC Regarding Compliance Reviews of Securities Dealers and Advisers (in PDF)
Contact us if you have questions. If you have questions related directly to the Registrant Outreach program or have suggestions for seminar topics, you may send an email to RegistrantOutreach@osc.gov.on.ca.