Industry


OSC Compliance Reports, Staff Notices & E-mail blasts


OSC Compliance annual reports

The Compliance team issues annual reports that include the results of compliance reviews, common deficiencies identified in the reviews and suggested best practices.

For more information:

Other OSC Compliance staff notices

The Compliance team may also issue staff notices on various topics. This includes staff notices that summarize our views and findings on common deficiencies we identified during compliance reviews of firms.

Below is a listing of some recent staff notices issued by the OSC or the Canadian Securities Administrators that are of particular interest to registered firms:

All registered firms:

Advisers:

Investment fund managers:

Exempt market dealers:

Scholarship plan dealers:

OSC E-mail blasts

We may also do an e-mail blast to registrants to remind them of their obligations with securities law or inform them of any new initiative in the Compliance and Registrant Regulation Branch.

Below is a listing of e-mail blasts sent to registrants: