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  • OSC Dialogue 2017

    October 12, 2017 @ -

    Other

    OSC Dialogue 2017

    Save the date for this annual OSC event that brings together hundreds of market participants on issues and trends facing the capital markets.

    Date: October 12, 2017
    Time: -
    Location:
    Event Details:

    Save the date for this annual OSC event that brings together hundreds of market participants on issues and trends facing the capital markets.

    Subscribe for updates
  • OSC in the Community (teletownhall)

    June 27, 2017 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (teletownhall)

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To learn how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on June 27, 2017 to participate.

    Date: June 27, 2017
    Time: 6:30 PM - 7:30 PM
    Location:
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To learn how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on June 27, 2017 to participate.

  • OSC in the Community (Pickering)

    June 22, 2017 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Pickering)

    OSC staff will be at Central Library. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

    Date: June 22, 2017
    Time: 7:00 PM - 8:30 PM
    Location: Central Library, One the Esplanade, Pickering
    Event Details:

    OSC staff will be at Central Library. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

  • OSC in the Community (Toronto)

    June 21, 2017 @ 10:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be exhibiting and speaking about fraud prevention at the Seniors Information Session & Expo.

    Date: June 21, 2017
    Time: 10:00 AM - 12:00 PM
    Location: 1003 Steles Avenue West, Bernard Betel Centre, Toronto
    Event Details:

    OSC staff will be exhibiting and speaking about fraud prevention at the Seniors Information Session & Expo.

  • OSC in the Community (Ottawa)

    June 19, 2017 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Ottawa)

    OSC staff will be speaking to the members of CARP Ottawa Chapter. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: June 19, 2017
    Time: 10:00 AM - 11:00 AM
    Location: Ottawa RA Centre, 2451 Riverside Drive, Ottawa
    Event Details:

    OSC staff will be speaking to the members of CARP Ottawa Chapter. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Sault Ste. Marie)

    June 15, 2017 @ 10:15 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Sault Ste. Marie)

    OSC staff will be at the Senior Citizen’s Drop in Centre to talk about fraud prevention. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

    Date: June 15, 2017
    Time: 10:15 AM - 11:30 AM
    Location: Senior Citizens' Drop-In Centre 619 Bay Street, Sault Ste. Marie
    Event Details:

    OSC staff will be at the Senior Citizen’s Drop in Centre to talk about fraud prevention. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

  • OSC in the Community (Sault Ste. Marie)

    June 14, 2017 @ 12:00 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Sault Ste. Marie)

    OSC staff will be speaking to new Canadians about money management and fraud prevention.

    Date: June 14, 2017
    Time: 12:00 PM - 1:30 PM
    Location: Northland Adult Learning Conference, 440 Northland Road, Sault Ste. Marie
    Event Details:

    OSC staff will be speaking to new Canadians about money management and fraud prevention.

  • Effective Oversight of Service Providers and Modernization of Investment Fund Product Regulation- Alternative Funds (Session B: In-Person)

    June 14, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Effective Oversight of Service Providers and Modernization of Investment Fund Product Regulation- Alternative Funds (Session B: In-Person)

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.

    Date: June 14, 2017
    Time: 2:00 PM - 4:00 PM
    Location: 22nd Floor Training Room Ontario Securities Commission 20 Queen Street West Toronto, ON
    Event Details:

    Description:

    • how registrants, with a focus on investment fund managers, can effectively oversee third party service providers retained to provide fund accounting, trust accounting, recordkeeping, compliance consulting, portfolio management and other services;
    • the CSA’s proposed amendments to NI 81-102 and NI 81-101 with respect to alternative funds.

    Who should attend:

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.

    Benefits:

    • Gain insight into how a registrant can effectively oversee its service providers in order to meet its obligation of being responsible and accountable for the work performed by service providers.
    • Enhance understanding of the CSA’s proposed amendments to revise regulation for alternative funds.

     

    Register

  • OSC in the Community (Barrie)

    June 13, 2017 @ 12:00 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Barrie)

    OSC staff will be speaking to members of the Bell Pensioners Group about how to protect themselves from investment fraud.

    Date: June 13, 2017
    Time: 12:00 PM - 1:30 PM
    Location: Barrie Liberty North Banquet Facility, 100 Caplan Ave., Unit 1, Barrie
    Event Details:

    OSC staff will be speaking to members of the Bell Pensioners Group about how to protect themselves from investment fraud.

  • OSC in the Community (North York)

    June 12, 2017

    OSC in the Community

    OSC in the Community (North York)

    Time: 10:30am-12:00pm and 1:00pm-2:30pm

    OSC staff will be speaking to new Canadians about money management and fraud prevention.

    Date: June 12, 2017
    Time: -
    Location: Jewish Immigrant Aid Services, 15 Hove Street, North York
    Event Details:

    Time: 10:30am-12:00pm and 1:00pm-2:30pm

    OSC staff will be speaking to new Canadians about money management and fraud prevention.

  • Effective Oversight of Service Providers and Modernization of Investment Fund Product Regulation- Alternative Funds (Session A: Webinar)

    June 12, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Effective Oversight of Service Providers and Modernization of Investment Fund Product Regulation- Alternative Funds (Session A: Webinar)

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.

    Date: June 12, 2017
    Time: 2:00 PM - 4:00 PM
    Location: webinar
    Event Details:

    Description:

    • how registrants, with a focus on investment fund managers, can effectively oversee third party service providers retained to provide fund accounting, trust accounting, recordkeeping, compliance consulting, portfolio management and other services;
    • the CSA’s proposed amendments to NI 81-102 and NI 81-101 with respect to alternative funds.

    Who should attend:

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.

    Benefits:

    • Gain insight into how a registrant can effectively oversee its service providers in order to meet its obligation of being responsible and accountable for the work performed by service providers.
    • Enhance understanding of the CSA’s proposed amendments to revise regulation for alternative funds.

     

    Register

  • OSC in the Community (Port Hope)

    June 08, 2017 @ 9:30 AM - 10:30 AM

    OSC in the Community

    OSC in the Community (Port Hope)

    OSC staff will be speaking to members of the Ganaraska Valley Probus Club about fraud prevention and what questions to ask before you invest.

    Date: June 08, 2017
    Time: 9:30 AM - 10:30 AM
    Location: Town Park Recreation Centre, 62 McCaul Street, Port Hope
    Event Details:

    OSC staff will be speaking to members of the Ganaraska Valley Probus Club about fraud prevention and what questions to ask before you invest.

  • OSC in the Community (Teletownhall)

    June 07, 2017 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Teletownhall)

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To learn how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on June 7, 2017 to participate.

    Date: June 07, 2017
    Time: 6:30 PM - 7:30 PM
    Location: Teletownhalls
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To learn how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on June 7, 2017 to participate.

  • OSC in the Community (Oakville)

    June 06, 2017 @ 6:00 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Oakville)

    OSC staff will be at Oakville Public Library. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

    Date: June 06, 2017
    Time: 6:00 PM - 7:30 PM
    Location: Oakville Public Library, Central Branch, Auditorium, 120 Navy Street, Oakville
    Event Details:

    OSC staff will be at Oakville Public Library. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

  • OSC in the Community (Toronto)

    June 03, 2017 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking at Ryerson’s 50+ Festival.  Come and hear staff discuss how to protect yourself from investment fraud and how to make more informed financial decisions.

    Date: June 03, 2017
    Time: 1:00 PM - 2:00 PM
    Location: Library 72, Library Building 350 Victoria Street at Gould Ryerson University Campus
    Event Details:

    OSC staff will be speaking at Ryerson’s 50+ Festival. Come and hear staff discuss how to protect yourself from investment fraud and how to make more informed financial decisions.

  • OSC Office of the Whistleblower Chief Heidi Franken will be speaking at the Canadian Institute conference on Corporate Whistleblower Compliance

    May 30, 2017 @ -

    Other

    OSC Chief Office of the Whistleblower to speak at the Canadian Institute conference on Corporate Whistleblower Compliance

    OSC Office of the Whistleblower Chief, Heidi Franken, will provide an overview of the Whistleblower Program including some of its key features as well as protections that have recently come into force.

    Date: May 30, 2017
    Time: -
    Location: Marriott Bloor Yorkville Hotel, Toronto, ON
    Event Details:

    OSC Office of the Whistleblower Chief, Heidi Franken, will provide an overview of the Whistleblower Program including some of its key features as well as protections that have recently come into force.

    Learn more.

  • Roundtable on Proposed Business Conduct Rules for Derivatives Dealers and Advisers

    May 29, 2017 @ 9:00 AM - 12:00 PM

    Other

    Roundtable on Proposed Business Conduct Rules for Derivatives Dealers and Advisers

    The Ontario Securities Commission (OSC) today announced that it will hold a roundtable to discuss stakeholder input on the CSA Notice and Request for Comment on Proposed National Instrument 93-101 Derivatives: Business Conduct (NI 93-101).

    Date: May 29, 2017
    Time: 9:00 AM - 12:00 PM
    Location: OSC, 22nd Floor, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The Ontario Securities Commission (OSC) today announced that it will hold a roundtable to discuss stakeholder input on the CSA Notice and Request for Comment on Proposed National Instrument 93-101 Derivatives: Business Conduct (NI 93-101).

    The event will feature panel discussions on the major policy proposals in NI 93-101. Panellists will be selected to reflect a diversity of roles and views. Representatives of banks, pension funds and buy-side market participants have been invited.

    The OSC will provide additional details, including the agenda and list of panellists no later than May 22, 2017.

    Interested parties wishing to attend the roundtable are asked to send an email with full contact details to: derivatives@osc.gov.on.ca to confirm their attendance. Space is limited. A transcript will be posted on the OSC’s website following the roundtable.

    Agenda

    Time

    Topic

    Panellists

    8:30 – 9:00 a.m.

    Arrival/Check-in

     

    9:00 – 9:05 a.m.

    Introduction and Opening Remarks

    Monica Kowal
    (OSC Vice-Chair)

    9:05 – 9:10 a.m.

    Overview of NI 93-101

    Aaron Unterman
    (Senior Legal Counsel, Derivatives, OSC)

    9:10 – 10:30  a.m.

    Topic 1:  Institutional Derivatives Market

     

    Kevin Fine - Moderator
    (Director, Derivatives, OSC)

    Ron Hoover
    (CIBC Capital Markets)

    Mike Fisher
    (BMO Capital Markets)

    Jim Byrd
    (RBC Capital Markets)

    Brad Tate
    (OMERS Pension Fund)

    Greg O’Donahue
    (Ontario Teachers’ Pension Plan Board)

    Breann Kirincich
    (BlackRock)

    10:30 – 10:40 a.m.

    Break  

     

    10:40 – 11:45 a.m.

    Topic 2:  Retail Derivatives Market

    Kevin Fine - Moderator
    (Director, Derivatives, OSC)

    Mary Condon
    (Osgoode Hall Law School)

    Shannon Seitz
    (Western Union)

    Bob Wong
    (OTT Financial Canada)

    11:45 – 11:50 a.m.

    Closing

    Kevin Fine
    (Director, Derivatives, OSC)

  • OSC in the Community (Kitchener)

    May 16, 2017 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Kitchener)

    Come and hear OSC staff discuss the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

    Date: May 16, 2017
    Time: 7:00 PM - 8:30 PM
    Location: Breithaupt Centre, 350 Margaret Avenue, Kitchener
    Event Details:

    Come and hear OSC staff discuss the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

  • OSC in the Community (Willowdale)

    May 15, 2017 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Willowdale)

    OSC staff will be speaking at the Bell Pensioners Group Ontario Central Chapter Annual General Meeting about red flags of fraud, common types of investment fraud, and what questions to ask before you invest.

    Date: May 15, 2017
    Time: 1:30 PM - 2:30 PM
    Location: Willowdale Baptist Church, 10 Olive Avenue, Willowdale
    Event Details:

    OSC staff will be speaking at the Bell Pensioners Group Ontario Central Chapter Annual General Meeting about red flags of fraud, common types of investment fraud, and what questions to ask before you invest.

  • OSC Vice-Chair Monica Kowal speaks at the Metro Toronto Convention Centre

    May 15, 2017 @ 9:45 AM - 10:45 AM

    Speech

    OSC Vice-Chair Monica Kowal speaks at the Metro Toronto Convention Centre

    Monica Kowal is speaking on the The Impact of Regulation on Financial Centres & Fintech Development panel.

    Date: May 15, 2017
    Time: 9:45 AM - 10:45 AM
    Location: Metro Toronto Convention Centre: South Building - Room 801 222 Bremner Boulevard Toronto, ON
    Event Details:

    Monica Kowal is speaking on the The Impact of Regulation on Financial Centres & Fintech Development panel.

    Learn more

  • OSC in the Community (Toronto)

    May 10, 2017 @ 9:00 AM - 5:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Come and visit the OSC’s exhibit table at the 2017 Annual NICE Knowledge Exchange. The conference program features workshops on aging, sessions on various dimensions of gerontology, panel discussions, and a student research competition.

    Date: May 10, 2017
    Time: 9:00 AM - 5:00 PM
    Location: Hart House, 7 Hart House Circle, Toronto
    Event Details:

    Come and visit the OSC’s exhibit table at the 2017 Annual NICE Knowledge Exchange. The conference program features workshops on aging, sessions on various dimensions of gerontology, panel discussions, and a student research competition.

  • Canadian Bitcoin Blockchain meetup: Blockchain Revolution!

    May 08, 2017 @ 5:30 PM - 9:00 PM

    Other

    Canadian Bitcoin Blockchain meetup: Blockchain Revolution!

    The OSC LaunchPad team will be present at Blockchain Revolution! Please come by to say hello and to learn more about how we can help your fintech business.

    Date: May 08, 2017
    Time: 5:30 PM - 9:00 PM
    Location: MaRS Discovery District Auditorium, 101 College Street, Toronto, Ontario
    Event Details:

    Members of the core and extended OSC LaunchPad team will be present at Blockchain Revolution! Please come by to say hello and to learn more about how securities regulation may apply to your business and how we can help if it does

    Learn more

  • OSC Office of the Whistleblower Chief Heidi Franken will be speaking at the Allard School of Law about recent initiatives on whistleblowing

    May 08, 2017 @ 4:00 PM - 6:30 PM

    Other

    OSC Chief Office of the Whistleblower to speak at the Canadian Institute conference on Corporate Whistleblower Compliance

    Seminar to explore recent initiatives in whistleblowing, with particular emphasis on the OSC Whistleblower Program

    Date: May 08, 2017
    Time: 4:00 PM - 6:30 PM
    Location: The BC Hydro Centre, 333 Dunsmuir Street, Vancouver, British Columbia V6B 5R4
    Event Details:

    Seminar to explore recent initiatives in whistleblowing, with particular emphasis on the OSC Whistleblower Program

    Learn more.

  • OSC in the Community (London)

    May 03, 2017 @ 10:00 AM - 11:15 AM

    OSC in the Community

    OSC in the Community (London)

    OSC staff will be speaking to retirees of Unifor Local 124 about the red flags of fraud, questions to ask before you invest and where to find unbiased financial information.

    Date: May 03, 2017
    Time: 10:00 AM - 11:15 AM
    Location: 606 First Street, London
    Event Details:

    OSC staff will be speaking to retirees of Unifor Local 124 about the red flags of fraud, questions to ask before you invest and where to find unbiased financial information.

  • OSC in the Community (Bowmanville)

    May 02, 2017 @ 11:15 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Bowmanville)

    OSC staff will be the luncheon speaker at the Retired Women Teachers of Ontario Northumberland South Durham Branch meeting.   Staff will discuss the red flags of fraud, common types of fraud and what questions to ask before you invest.

    Date: May 02, 2017
    Time: 11:15 AM - 12:00 PM
    Location: Trinity United Church, 116 Church Street, Bowmanville
    Event Details: OSC staff will be the luncheon speaker at the Retired Women Teachers of Ontario Northumberland South Durham Branch meeting. Staff will discuss the red flags of fraud, common types of fraud and what questions to ask before you invest.
  • OSC in the Community (Guelph)

    April 29, 2017 @ 9:30 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Guelph)

    OSC staff will be speaking to members of the community to help them learn how to recognize and protect themselves from investment fraud.

    Date: April 29, 2017
    Time: 9:30 AM - 11:00 AM
    Location: Knox Church, 20 Quebec Street, Guelph
    Event Details:

    OSC staff will be speaking to members of the community to help them learn how to recognize and protect themselves from investment fraud.

  • OSC in the Community (North York)

    April 27, 2017 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (North York)

    Attend the Protect your Money presentation to learn the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

    Date: April 27, 2017
    Time: 7:00 PM - 8:30 PM
    Location: York Woods Library, 1785 Finch Avenue West, North York
    Event Details:

    Attend the Protect your Money presentation to learn the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

  • OSC in the Community (Chatham)

    April 26, 2017 @ 11:30 AM - 2:30 PM

    OSC in the Community

    OSC in the Community (Chatham)

    OSC staff will be speaking to members of the Chatham Kent RWTO Branch about fraud prevention, common types of fraud and what questions to ask before you invest.

    Date: April 26, 2017
    Time: 11:30 AM - 2:30 PM
    Location: Charing Cross United Church, 8561 Middle Line, Chatham
    Event Details:

    OSC staff will be speaking to members of the Chatham Kent RWTO Branch about fraud prevention, common types of fraud and what questions to ask before you invest.

  • OSC in the Community (Scarborough)

    April 24, 2017 @ 10:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Commuinty (Scarborough)

    OSC staff will be speaking to LINC students about saving and investing, fraud prevention and where to find unbiased information.

    Date: April 24, 2017
    Time: 10:30 AM - 12:00 PM
    Location: Polycultural Immigrant & Community Services, 3660-A Midland Avenue, Scarborough
    Event Details:

    OSC staff will be speaking to LINC students about saving and investing, fraud prevention and where to find unbiased information.

  • OSC in the Community (Beamsville)

    April 20, 2017 @ 10:45 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Beamsville)

    OSC staff will be speaking to members of the Lincoln West RWTO Branch about fraud prevention and how to make more informed financial decisions.

    Date: April 20, 2017
    Time: 10:45 AM - 12:00 PM
    Location: Trinity United Church, 4287 William Street, Beamsville
    Event Details:

    OSC staff will be speaking to members of the Lincoln West RWTO Branch about fraud prevention and how to make more informed financial decisions.

  • 2017 PCMA Private Capital Markets Conference

    April 20, 2017 @ 7:30 AM - 8:00 PM

    Other

    2017 PCMA Private Capital Markets Conference

    OSC LaunchPad Chief Pat Chaukos will be speaking on “What is FinTech? Hottest FinTech Trends for 2017

    Date: April 20, 2017
    Time: 7:30 AM - 8:00 PM
    Location: First Canadian Place, 77 Adelaide St. W., Toronto, Ontario
    Event Details:

    OSC LaunchPad Chief Pat Chaukos will be speaking at the 2017 PCMA Private Capital Markets Conference on “What is FinTech? Hottest FinTech Trends for 2017”.

    Learn more

  • OSC in the Community (Etobicoke)

    April 18, 2017 @ 10:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Etobicoke)

    OSC staff will be speaking to the Barclays Ladies Club to help them learn how to protect themselves from investment fraud and what questions to ask before they invest.

    Date: April 18, 2017
    Time: 10:30 AM - 12:00 PM
    Location: Barclay Terrace, Hospitality Room, 1300 Islington Ave., Etobicoke
    Event Details:

    OSC staff will be speaking to the Barclays Ladies Club to help them learn how to protect themselves from investment fraud and what questions to ask before they invest.

  • CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions (Session B In-Person)

    April 13, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions (Session B In-Person)

    The seminar will provide an overview of the CSA’s consultation on the option of discontinuing embedded commissions. Key topics discussed will include: the CSA’s consultation objectives, the investor protection and market efficiency issues that embedded commissions raise, the proposed scope of a potential policy discontinuing embedded commissions, the CSA’s analysis of the potential impacts of discontinuing embedded commissions in Canada, and potential measures to mitigate unintended consequences.

    Date: April 13, 2017
    Time: 2:00 PM - 4:00 PM
    Location: 22nd Floor Training Room Ontario Securities Commission 20 Queen Street West Toronto, ON
    Event Details:

    The seminar will provide an overview of the CSA’s consultation on the option of discontinuing embedded commissions. Key topics discussed will include: the CSA’s consultation objectives, the investor protection and market efficiency issues that embedded commissions raise, the proposed scope of a potential policy discontinuing embedded commissions, the CSA’s analysis of the potential impacts of discontinuing embedded commissions in Canada, and potential measures to mitigate unintended consequences.

    Who should Attend:

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.

    Benefits:
    • Enhance understanding of the CSA’s proposal on the option of discontinuing embedded commissions and its assessment of the potential impacts of such a change on investors and industry participants;
    • Gain insights that will assist in responding to the consultation paper.

    Register now

  • OSC in the Community (Oakville)

    April 11, 2017

    OSC in the Community

    OSC in the Community (Oakville)

    OSC staff will be speaking to LINC students about saving and investing, fraud prevention and where to find unbiased information.

    This event has two times: 10:45am - 11:30am and 1:00pm - 2:00pm

    Date: April 11, 2017
    Time: 10:45 AM - 11:30 AM
    Location: HMC Connections, 380 Dundas Street East, Oakville
    Event Details: OSC staff will be speaking to LINC students about saving and investing, fraud prevention and where to find unbiased information.

    This event has two times: 10:45am - 11:30am and 1:00pm - 2:00pm
  • OSC in the Community (Timmins)

    April 06, 2017 @ 9:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Timmins)

    Attend the Protect Your Money presentation to learn the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

    Date: April 06, 2017
    Time: 9:30 AM - 11:30 AM
    Location: St. Mary’s Garden, 225 Fifth Avenue, Timmins
    Event Details:

    Attend the Protect Your Money presentation to learn the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

  • OSC in the Community (Markham)

    April 04, 2017 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking at the Milliken Mills Community Centre. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

    Date: April 04, 2017
    Time: 10:30 AM - 11:30 AM
    Location: Milliken Mills Community Centre, 7660 Kennedy Road, Markham
    Event Details:

    OSC staff will be speaking at the Milliken Mills Community Centre. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

  • OSC Chair Maureen Jensen speaks at the Gender Equality Forum 2017

    April 03, 2017 @ 4:00 PM - 5:00 PM

    Speech

    OSC Chair Maureen Jensen speaks at the Gender Equality Forum 2017

    Take action along with fellow leaders from business, civil society, government and the United Nations to scale up gender equality and achieve the Sustainable Development Goals - particularly SDG5, focused on the empowerment of women and girls.

    Date: April 03, 2017
    Time: 4:00 PM - 5:00 PM
    Location: Deloitte Canada’s Toronto head office at 22 Adelaide St W #200, Toronto, ON M5H 0A9.
    Event Details:

    Take action along with fellow leaders from business, civil society, government and the United Nations to scale up gender equality and achieve the Sustainable Development Goals - particularly SDG5, focused on the empowerment of women and girls.

    More information

  • OSC in the Community (teletownhall)

    March 30, 2017 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (teletownhall)

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Fraud Prevention Month and will focus on recognizing and preventing different types of investment fraud. To learn more about how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on March 30, 2017 to participate.

    Date: March 30, 2017
    Time: 6:30 PM - 7:30 PM
    Location:
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Fraud Prevention Month and will focus on recognizing and preventing different types of investment fraud. To learn more about how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on March 30, 2017 to participate.

  • OSC Chair Maureen Jensen Speaks at Conference on the New Paradigm of Financial Advice

    March 30, 2017 @ 12:30 PM - 1:45 PM

    Speech

    OSC Chair Maureen Jensen Speaks at Conference on the New Paradigm of Financial Advice

    This two day conference is a collaboration between the C.D. Howe Institute, the University of Calgary’s School of Public Policy, and CIRANO, together with the Toronto Financial Services Alliance.

    Date: March 30, 2017
    Time: 12:30 PM - 1:45 PM
    Location: The Westin Harbour Castle, 1 Harbour Square, Toronto
    Event Details:

    Thursday, March 30, 2017 - 08:00 to Friday, March 31, 2017 - 14:00

    This two day conference is a collaboration between the C.D. Howe Institute, the University of Calgary’s School of Public Policy, and CIRANO, together with the Toronto Financial Services Alliance.

    The landscape for financial advice, in Canada as elsewhere in the world, stands on the brink of a profound transformation.

    This March, senior leaders will come together to tackle the public policy implications of this new landscape as it affects access to financial advice for Canadians of all income and wealth levels.

    Latest information on C.D. Howe Institute website

    Register Now

  • OSC in the Community (Whitby)

    March 30, 2017 @ 1:00 PM - 1:50 PM

    OSC in the Community

    OSC in the Community (Whitby)

    OSC staff will be at the Active Living Fair to deliver the Protect Your Money presentation. Attend the seminar to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

    Date: March 30, 2017
    Time: 1:00 PM - 1:50 PM
    Location: Whitby’s Senior Activity Centre, 801 Brock St. South, Whitby
    Event Details:

    OSC staff will be at the Active Living Fair to deliver the Protect Your Money presentation. Attend the seminar to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

  • OSC in the Community (Alliston)

    March 27, 2017 @ 10:00 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Alliston)

    OSC staff will be speaking to the Women’s Probus Club of Alliston about fraud prevention and the client-advisor relationship. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam, questions to ask before you invest and where to find unbiased information.

    Date: March 27, 2017
    Time: 10:00 AM - 11:30 AM
    Location: Nottawasaga Inn, 6015 Highway 89, Alliston
    Event Details:

    OSC staff will be speaking to the Women’s Probus Club of Alliston about fraud prevention and the client-advisor relationship. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam, questions to ask before you invest and where to find unbiased information.

  • OSC in the Community (Scarborough)

    March 25, 2017 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    The OSC will have an exhibit table and also give a presentation at the Active Living Fair. Drop by the exhibit table to speak with OSC representative. Attend the Protect Your Money presentation (10:00am – 10:45am) to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

    Date: March 25, 2017
    Time: 10:00 AM - 3:00 PM
    Location: St. Paul L’Amoreaux Centre, 3333 Finch Avenue East, Scarborough
    Event Details:

    The OSC will have an exhibit table and also give a presentation at the Active Living Fair. Drop by the exhibit table to speak with OSC representative. Attend the Protect Your Money presentation (10:00am – 10:45am) to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

  • OSC Chair Maureen Jensen speaks at Australian Securities & Investments Commission Annual Forum

    March 20, 2017 @ 9:55 AM - 11:15 AM

    Speech

    OSC Chair Maureen Jensen speaks at Australian Securities & Investments Commission Annual Forum

    Increased competition, a growing appetite for digital solutions and public questioning of institutions are redefining the financial landscape. At the same time, global markets continue to be rocked by the unexpected. With such financial sector uncertainty, are we doing enough to future-proof our system?

    Date: March 20, 2017
    Time: 9:55 AM - 11:15 AM
    Location: Hilton Sydney 488 George St, Sydney NSW 2000, Australia
    Event Details:

    Increased competition, a growing appetite for digital solutions and public questioning of institutions are redefining the financial landscape. At the same time, global markets continue to be rocked by the unexpected. With such financial sector uncertainty, are we doing enough to future-proof our system?

    Over two days, the Forum will explore the balance between innovation and stability in our rapidly transforming financial system. What's the right balance when planning for a future we can only begin to imagine?

    More Information
  • OSC in the Community (Brampton)

    March 15, 2017 @ 10:00 AM - 10:30 AM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to Unifor 1285 Retiree Chapter about investment fraud. The Protect Your Money presentation will help retirees learn how to recognize frauds and scams, what to do if you suspect a scam and questions to ask before you invest.

    Date: March 15, 2017
    Time: 10:00 AM - 10:30 AM
    Location: 23 Regan Road Brampton
    Event Details:

    OSC staff will be speaking to Unifor 1285 Retiree Chapter about investment fraud. The Protect Your Money presentation will help retirees learn how to recognize frauds and scams, what to do if you suspect a scam and questions to ask before you invest.

  • OSC in the Community (Guelph)

    March 09, 2017 @ 11:30 AM - 1:00 PM

    OSC in the Community

    OSC in the Community (Guelph)

    OSC staff will be at the Retire in Style event to talk about fraud prevention. Attend the Protect Your Money presentation to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

    Date: March 09, 2017
    Time: 11:30 AM - 1:00 PM
    Location: Evergreen Seniors Community Centre, 683 Woolwich Street, Guelph
    Event Details:

    OSC staff will be at the Retire in Style event to talk about fraud prevention. Attend the Protect Your Money presentation to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

  • OSC Chair Maureen Jensen Speaks at C.D. Howe Institute

    March 09, 2017 @ 12:00 PM - 1:30 PM

    Speech

    OSC Chair Maureen Jensen Speaks at  C.D. Howe Institute

    OSC LaunchPad: Being a modern regulator in the age of market disruption

    Date: March 09, 2017
    Time: 12:00 PM - 1:30 PM
    Location: C.D. Howe Institute, 67 Yonge Street, Suite 300, Toronto ON
    Event Details:

    OSC LaunchPad: Being a modern regulator in the age of market disruption

    Latest information on C.D. Howe Institute website

  • OSC in the Community (teletownhall)

    March 02, 2017 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (teletownhall)

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Fraud Prevention Month and will focus on recognizing and preventing different types of investment fraud. To learn more about spotting some common scams and to ask OSC experts your fraud-related questions, register to participate.

    Date: March 02, 2017
    Time: 6:30 PM - 7:30 PM
    Location:
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Fraud Prevention Month and will focus on recognizing and preventing different types of investment fraud. To learn more about spotting some common scams and to ask OSC experts your fraud-related questions, register to participate.

  • Canadian Crowdfinance Summit

    February 28, 2017

    Other

    Canadian Crowdfinance Summit

    The OSC LaunchPad team will be speaking at the 3rd annual Canadian Crowdfinance Summit presented by the National Crowdfunding Association of Canada.

    Date: February 28, 2017
    Time: -
    Location: Multiple Locations
    Event Details:
    February 28, 2017
    1:30 pm – 7:30 pm
    OneEleven
    325 Front St. W., Toronto, Ontario


    March 1, 2017
    7:30 am – 7:30 pm
    MaRS Discovery District
    101 College St., Toronto, Ontario


    The OSC LaunchPad team will be speaking at the 3rd annual Canadian Crowdfinance Summit presented by the National Crowdfunding Association of Canada. More
  • CSA Cyber Security Roundtable

    February 27, 2017 @ 9:30 AM - 3:15 PM

    Other

    CSA Cyber Security Roundtable

    The Canadian Securities Administrators (CSA) announced today that it will hold a roundtable to discuss issues related to cyber security and opportunities for greater collaboration, communication and coordination in the event of a cyber security incident. The roundtable follows the publication of CSA Staff Notice 11-332 Cyber Security, which identifies related issues and opportunities.

    Date: February 27, 2017
    Time: 9:30 AM - 3:15 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The Canadian Securities Administrators (CSA) announced today that it will hold a roundtable to discuss issues related to cyber security and opportunities for greater collaboration, communication and coordination in the event of a cyber security incident. The roundtable follows the publication of CSA Staff Notice 11-332 Cyber Security, which identifies related issues and opportunities.

    Roundtable participants have been selected to reflect a diversity of roles and views, and include marketplaces, clearing agencies, registrants, reporting issuers, regulatory bodies and cybersecurity experts.

    Although the CSA roundtable will not be open to the public, the CSA intends to issue a summary of the themes discussed.

    Agenda


    1. Participant Sign-in (9:00 – 9:30 am)

    2. Introduction and Opening Remarks by OSC Executive Director (9:30 – 9:40 am)

    3. Cybersecurity Presentation and Overview of Roundtable (9:40 – 10:10 am)

    4. Scenario 1: Discussion in Smaller Groups (10:10 – 10:55 am)

    Coffee Break (10:55 –11:15 am)

    5. Scenario 1: Discussion in Larger Group (11:15 – 12:15 pm)

    Lunch (12:15 –1:15 pm)

    6. Scenario 2: Discussion in Smaller Groups (1:15 – 2:00 pm)

    7. Scenario 2: Discussion in Larger Group (2:00 – 3:00 pm)

    8. Concluding Remarks by Chair of CSA Cybersecurity Working Group (3:00 – 3:15 pm)

  • OSC in the Community (Belleville)

    February 23, 2017 @ 10:00 AM - 10:40 AM

    OSC in the Community

    OSC in the Community (Belleville)

    OSC staff will be speaking to members of the Probus Club of Belleville. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: February 23, 2017
    Time: 10:00 AM - 10:40 AM
    Location: Pentecostal Church, 490 Dundas Street West, Belleville
    Event Details:

    OSC staff will be speaking to members of the Probus Club of Belleville. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • CRM2 Reporting to Clients and Portfolio Manager - IIROC Dealer Member Service Arrangements (PMDSAs) (Session B: In-Person)

    February 23, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    CRM2 Reporting to Clients and Portfolio Manager - IIROC Dealer Member Service Arrangements (PMDSAs) (Session B: In-Person)

    This seminar will provide an overview of client relationship model phase 2 (CRM2) requirements and focus specifically on client statements, the Report on Charges and Other Compensation, and the Investment Performance Report. The session will also cover CSA Staff Notice 31-347 Guidance...

    Date: February 23, 2017
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide an overview of client relationship model phase 2 (CRM2) requirements and focus specifically on client statements, the Report on Charges and Other Compensation, and the Investment Performance Report. The session will also cover CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members, which sets out regulatory expectations for portfolio managers (PMs) with PMDSAs, including for books and records, agreements, disclosure and client reporting.

  • Navigating Insider Reporting and SEDI

    February 22, 2017 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Navigating Insider Reporting and SEDI
    This seminar will review insider reporting obligations for reporting issuers and their insiders under National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104). OSC staff will also provide a walk through on how to submit insider filings electronically on SEDI (System for Electronic Disclosure by Insiders) and discuss common filing errors and provide tips on how to avoid them.

    Date: February 22, 2017
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    This seminar will review insider reporting obligations for reporting issuers and their insiders under National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104). OSC staff will also provide a walk through on how to submit insider filings electronically on SEDI (System for Electronic Disclosure by Insiders) and discuss common filing errors and provide tips on how to avoid them.

    Who should attend:

    • Reporting insiders and individuals responsible for the preparation, review and filing of insider reports.

    Why You Should Attend:

    • To learn more about the requirements of NI 55-104 and National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI).
    • To understand the common issues noted by OSC staff when reviewing insider reports.
    • To gain a better understanding of SEDI and how to navigate the system.

    A link to an archived replay of the webinar will be available here after the conclusion of the session.

    Material

  • OSC LaunchPaf Chief Pat Chaukos Speaks at the #FinTechCan Workshop

    February 21, 2017 @ 9:00 AM - 4:15 PM

    Other

    OSC Chair Pat Chaukos Speaks at the #FinTechCan Workshop

    OSC LaunchPad Chief Pat Chaukos will be speaking at the Competition Bureau's #FinTechCan Workshop on February 21.

    Date: February 21, 2017
    Time: 9:00 AM - 4:15 PM
    Location: Shaw Centre, Ottawa
    Event Details:

    OSC LaunchPad Chief Pat Chaukos will be speaking at the Competition Bureau's #FinTechCan Workshop on February 21. More information

  • OSC in the Community (Courtice)

    February 21, 2017 @ 2:30 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Courtice)

    OSC staff will be speaking about fraud prevention, working with an advisor and where to find unbiased information. Register for this free Protect Your Money presentation. See attached flyer for more information.

    Date: February 21, 2017
    Time: 2:30 PM - 3:30 PM
    Location: Courtice Community Complex, 2950 Courtice Road North, Courtice
    Event Details:

    OSC staff will be speaking about fraud prevention, working with an advisor and where to find unbiased information. Register for this free Protect Your Money presentation. See attached flyer for more information.

  • CRM2 Reporting to Clients and Portfolio Manager - IIROC Dealer Member Service Arrangements (PMDSAs) (Session A: Webinar)

    February 21, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    CRM2 Reporting to Clients and Portfolio Manager - IIROC Dealer Member Service Arrangements (PMDSAs) (Session A: Webinar)

    This seminar will provide an overview of client relationship model phase 2 (CRM2) requirements and focus specifically on client statements, the Report on Charges and Other Compensation, and the Investment Performance Report. The session will also cover CSA Staff Notice 31-347 Guidance for Portfolio Managers...

    Date: February 21, 2017
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    This seminar will provide an overview of client relationship model phase 2 (CRM2) requirements and focus specifically on client statements, the Report on Charges and Other Compensation, and the Investment Performance Report. The session will also cover CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members, which sets out regulatory expectations for portfolio managers (PMs) with PMDSAs, including for books and records, agreements, disclosure and client reporting.

  • OSC in the Community (Chatham)

    February 17, 2017 @ 9:00 AM - 1:00 PM

    OSC in the Community

    OSC in the Community (Chatham)

    The OSC will have an exhibit table and also give a presentation at the 7th Annual Seniors Resource Fair, Connect, in Chatham. Drop by the exhibit table to speak with OSC representative. Attend the Protect Your Money presentation to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

    Date: February 17, 2017
    Time: 9:00 AM - 1:00 PM
    Location: Active Lifestyle Centre, Dance Room, 20 Merritt Avenue, Chatham
    Event Details:

    The OSC will have an exhibit table and also give a presentation at the 7th Annual Seniors Resource Fair, Connect, in Chatham.  Drop by the exhibit table to speak with OSC representative.  Attend the Protect Your Money presentation to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest. 

     

  • OSC in the Community (Hamilton)

    February 15, 2017 @ 12:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Hamilton)

    OSC staff will be speaking to members of the Carpenters Local 18 Retirees Social Club about investment fraud and client advisor relationship. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: February 15, 2017
    Time: 12:00 PM - 2:00 PM
    Location: Carpenters Local 18 Retirees Social Club, Hamilton
    Event Details:

    OSC staff will be speaking to members of the Carpenters Local 18 Retirees Social Club about investment fraud and client advisor relationship. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Kitchener)

    February 01, 2017 @ 9:30 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Kitchener)

    OSC staff will be speaking at the Downtown Community Centre. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, how to work with an advisor and how to make more informed financial decisions.

    Date: February 01, 2017
    Time: 9:30 AM - 11:00 AM
    Location: Downtown Community Centre, 35-B Weber St. W., Kitchener
    Event Details:

    OSC staff will be speaking at the Downtown Community Centre. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, how to work with an advisor and how to make more informed financial decisions.

  • Whistleblower Chief Heidi Franken speaks at Rotman School of Management

    January 26, 2017 @ 9:00 AM - 12:00 PM

    Other

    Capital Markets Institute @ Rotman Speaker Series

    Please join the Capital Markets Institute on January 26, 2017 for a panel discussion on Rewarding Corporate Whistleblowers: Will this Improve Canadian Capital Markets? The event will feature Heidi Franken, Chief, Office of the Whistleblower, Ontario Securities Commission, insights from current research on the US whistleblowing experience from Andrew Call, Associate Professor...

    Date: January 26, 2017
    Time: 9:00 AM - 12:00 PM
    Location: Desautels Hall (Second Floor, South Building) | map Rotman School of Management, U of Toronto, 105 St George Street
    Event Details:

    Please join the Capital Markets Institute on January 26, 2017 for a panel discussion on Rewarding Corporate Whistleblowers: Will this Improve Canadian Capital Markets? The event will feature Heidi Franken, Chief, Office of the Whistleblower, Ontario Securities Commission, insights from current research on the US whistleblowing experience from Andrew Call, Associate Professor, W. P. Carey School of Business, Arizona State University, and opening comments from Alexander Dyck, Manulife Financial Chair in Financial Services, Rotman School of Management and Director, Capital Markets Institute. To explore implications for Canadian capital markets, a panel discussion will follow featuring Peter Dent, Partner, Deloitte Canada and Past Chair & President, Transparency International Canada, Stephen Kohn, a leading US lawyer and expert on whistleblowing and Executive Director of the National Whistleblower Center (US), in addition to the speakers.

    Register Now

  • Financing Options for SMEs: Tips and Tools for Raising Money in the Public and Private Markets

    January 25, 2017 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Financing Options for SMEs: Tips and Tools for Raising Money in the Public and Private Markets
    The seminar will discuss the differences between raising money in the public market versus the exempt market. On the exempt market side, we will discuss five capital raising prospectus exemptions that have been created or revised to address the capital raising needs of small to medium sized enterprises at different stages of development. We will also discuss tips for completing and filing the new Form 45-106F1 Report of Exempt Distribution which came into force on June 30, 2016. On the public side, we will examine the requirements for when you become a public company, the roles of the parties involved in the offering process, and the ongoing requirements following your IPO.

    Date: January 25, 2017
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    The seminar will discuss the differences between raising money in the public market versus the exempt market. On the exempt market side, we will discuss five capital raising prospectus exemptions that have been created or revised to address the capital raising needs of small to medium sized enterprises at different stages of development. We will also discuss tips for completing and filing the new Form 45-106F1 Report of Exempt Distribution which came into force on June 30, 2016. On the public side, we will examine the requirements for when you become a public company, the roles of the parties involved in the offering process, and the ongoing requirements following your IPO.

    Who should attend:

    • CEOs and CFOs
    • Directors
    • Legal counsel and other advisors

    Why You Should Attend:

    • To learn about the options available for raising money in Ontario's public and private markets, and the new prospectus exemptions available
    • To obtain guidance on the specific process and requirements for raising capital
    • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

    A link to an archived replay of the webinar will be available here after the conclusion of the session.

    Presentation slides:

  • Financial Reporting Insights and Updates

    January 12, 2017 @ 12:30 PM - 1:30 PM

    Other

    Financial Reporting Insights and Updates

    OSC staff, in partnership with CPA Canada, will be delivering a one-hour webinar that explores a range of financial reporting topics.

    Date: January 12, 2017
    Time: 12:30 PM - 1:30 PM
    Location: Webinar
    Event Details:

    OSC staff, in partnership with CPA Canada, will be delivering a one-hour webinar that explores a range of financial reporting topics. These include:

    • Non-GAAP financial measures
    • Disclosure of fair value measurements
    • Disclosure effectiveness
    • Effective implementation of IFRS 9, IFRS 15 and IFRS 16
    • The role of the audit committee
    • Recent regulatory bulletins and notices

    This webinar is designed to help management, audit committees and auditors stay current on today's financial reporting hot topics.

    Register Now

  • OSC in the Community (Ajax)

    January 03, 2017 @ 9:30 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Ajax)

    OSC staff will be speaking to members of the Ajax Friendship Club about investment fraud prevention and how to make more informed financial decisions. The Protect Your Money presentation will help club members to recognize the red flags of investment fraud, know what questions to ask before investing and know where to find unbiased financial information.

    Date: January 03, 2017
    Time: 9:30 AM - 11:00 AM
    Location: Ajax Friendship Club, 46 Exeter Road, Ajax
    Event Details: OSC staff will be speaking to members of the Ajax Friendship Club about investment fraud prevention and how to make more informed financial decisions. The Protect Your Money presentation will help club members to recognize the red flags of investment fraud, know what questions to ask before investing and know where to find unbiased financial information.
  • Continuous Disclosure: Hot Topics and More

    December 14, 2016 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Continuous Disclosure: Hot Topics and More

    The seminar will include the review of obligations under NI 51-102, including various MD&A observations, with a focus on non-GAAP financial measures. The seminar will also cover other continuous disclosure requirements, including executive compensation, disclosure standards under NP 51-201, administrative procedures (including MCTO/CTO), and will highlight upcoming trends and other relevant topics.

    Date: December 14, 2016
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    The seminar will include the review of obligations under NI 51-102, including various MD&A observations, with a focus on non-GAAP financial measures. The seminar will also cover other continuous disclosure requirements, including executive compensation, disclosure standards under NP 51-201, administrative procedures (including MCTO/CTO), and will highlight upcoming trends and other relevant topics.

    Who should attend:

    • CFOs
    • Preparers of financial statements and MD&A
    • In-house or external legal counsel
    • Advisors to companies

    Why You Should Attend:

    • To understand important ongoing securities requirements in order to prepare quality CD documents
    • To be aware of common filing deficiencies so you can avoid them
    • To hear directly from OSC staff of best practices for working with the OSC on ongoing filing issues
    • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

    Presentation slides:

  • CSA Roundtable on Proposed Best Interest and Targeted Reforms

    December 06, 2016

    Other

    CSA Roundtable on Proposed Best Interest and Targeted Reforms
    Roundtable on CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward Their Clients. The roundtable will feature two stakeholder panel discussions: one on the proposed best interest standard and the other on the proposed targeted reforms, and will focus on key themes emerging from the comment letters.

    Date: December 06, 2016
    Time: 1:00 PM - 4:30 PM
    Location: OSC, 22nd Floor, Training Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details: Roundtable on CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward Their Clients. The roundtable will feature two stakeholder panel discussions: one on the proposed best interest standard and the other on the proposed targeted reforms, and will focus on key themes emerging from the comment letters.

    Transcript


    Agenda

    Time

    Topic

    Panellists

    12:30 – 1:00 p.m.

    Arrival/Check-in

    1:00 – 1:15 p.m.

    Introduction and Opening Remarks (Audio)

    Maureen Jensen
    (OSC Chair)

    Monica Kowal
    (OSC Vice-Chair)

    1:15 – 2:45 p.m.

    Panel 1: Proposed regulatory best interest standard (Audio)

    Monica Kowal - Moderator
    (OSC Vice-Chair)

    Randy Cass
    (Nest Wealth Asset Management Inc.)

    Lawrence Haber
    (Corporate director and former industry executive)

    Margaret McNee
    (McMillan LLP)

    Ursula Menke
    (Investor Advisory Panel)

    Peter Moulson
    (Wealth Management Compliance, CIBC)

    Ian Russell
    (Investment Industry Association of Canada)

    2:45 – 3:00 p.m.

    Break

    3:00 – 4:25 p.m.

    Panel 2: Proposed targeted reforms (Audio)

    Grant Vingoe - Moderator
    (OSC Vice-Chair)

    Eric Adelson
    (Invesco Canada Ltd.)

    Paul Bourque
    (Investment Funds Institute of Canada)

    Rosemary Chan
    (Global Wealth Management, Compliance, Scotiabank)

    Gerry Rocchi
    (Corporate director and former industry executive)

    Ellen Roseman
    (Canadian Foundation for Advancement of Investor Rights (FAIR Canada) and Journalist)

    Prema Thiele
    (Borden Ladner Gervais LLP)

    4:25 – 4:30 p.m.

    Closing (Audio)

    Debra Foubert
    (Director, Compliance and Registrant Regulation, OSC)


  • OSC in the Community (Brampton)

    December 01, 2016 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Brampton)

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: December 01, 2016
    Time: 1:30 PM - 2:30 PM
    Location: 245 Queen St. W., Unit 2, Brampton
    Event Details:

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • Mining Disclosure Essentials: Keep Calm and Avoid the Ditch

    November 30, 2016 @ 1:30 PM - 3:00 PM

    SME Institute Seminars

    Mining Disclosure Essentials: Keep Calm and Avoid the Ditch

    This seminar is designed to provide mining issuers with the essential “rules of the road” to keep their public reporting on track and in compliance with the requirements of NI 43-101 and NI 51-102. Participants will have the opportunity to hear directly from the regulator about common disclosure pitfalls and challenges.

    Date: November 30, 2016
    Time: 1:30 PM - 3:00 PM
    Location: webinar
    Event Details:

    This seminar is designed to provide mining issuers with the essential “rules of the road” to keep their public reporting on track and in compliance with the requirements of NI 43-101 and NI 51-102. Participants will have the opportunity to hear directly from the regulator about common disclosure pitfalls and challenges.

    Topics covered will include:

    • Fundamental concepts
    • Disclosure from exploration to production
    • Technical reports and common pitfalls
    • Website disclosure hazards

    Who should attend:

    • CEOs or CFOs
    • Qualified persons
    • Investor relation individuals
    • Legal counsel   

    Why You Should Attend:

    • To learn more about NI 43-101 from OSC mining experts
    • To understand what OSC staff look for when reviewing technical and M&DA disclosure
    • To improve technical disclosures from practical examples

    Presentation slides:

  • OSC in the Community (Malton)

    November 30, 2016 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Malton)

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: November 30, 2016
    Time: 1:30 PM - 2:30 PM
    Location: 7380 Airport Road, Malton
    Event Details:

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Markham)

    November 29, 2016 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Markham)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    Date: November 29, 2016
    Time: 7:00 PM - 8:30 PM
    Location: Markham Public Library, Angus Glen branch, 3990 Major Mackenzie Drive East, Markham
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

  • RegHackTO

    November 25, 2016

    Other

    RegHackTO

    Visit the RegHackTO site for details on the location, problem statement, judging criteria, panel of judges and more.

    Date: November 25, 2016
    Time: -
    Location: 220 King Street West, Suite 200, Toronto, ON M5H 1K4
    Event Details:

    5:00 p.m., November 25, 2016 to 3:00 p.m., November 27, 2016

    Visit the RegHackTO site for details on the location, problem statement, judging criteria, panel of judges and more.

  • Communicating with clients in a compliant manner (Session B: In-Person)

    November 24, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Communicating with clients in a compliant manner (Session B: In-Person)

    The seminar will focus on how to communicate with clients in a compliant manner. Key client communications covered will include: marketing, client agreements, know your client documentation, relationship disclosure information and client account statements. To assist firms with the documents they prepare to communicate with their clients, we will provide examples to illustrate acceptable practices and common deficiencies with these types of documents.

    Date: November 24, 2016
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The seminar will focus on how to communicate with clients in a compliant manner. Key client communications covered will include: marketing, client agreements, know your client documentation, relationship disclosure information and client account statements. To assist firms with the documents they prepare to communicate with their clients, we will provide examples to illustrate acceptable practices and common deficiencies with these types of documents.


    Who should Attend:
    • Chief compliance officers and ultimate designated persons.
    • Compliance staff or individuals who review marketing materials or other client communication documents.

    Benefits:

    Gain insight into expectations on client communications.


    Documents:

    Slides: Communicating with Clients in a Compliant Manner

  • OSC in the Community (teletownhall)

    November 23, 2016 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (teletownhall)

    The OSC Investor Office’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Financial Literacy Month, with special guests from the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA). If you would like to be called on Wednesday, November 23 at 6:30 to participate in the upcoming teletownhall, please complete the online registration.

    Date: November 23, 2016
    Time: 6:30 PM - 7:30 PM
    Location:
    Event Details:

    The OSC Investor Office’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Financial Literacy Month, with special guests from the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA). If you would like to be called on Wednesday, November 23 at 6:30 to participate in the upcoming teletownhall, please complete the online registration.

  • Communicating with clients in a compliant manner (Session A: Webinar)

    November 22, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Communicating with clients in a compliant manner (Session A: Webinar)

    The seminar will focus on how to communicate with clients in a compliant manner. Key client communications covered will include: marketing, client agreements, know your client documentation, relationship disclosure information and client account statements. To assist firms with the documents they prepare to communicate with their clients, we will provide examples to illustrate acceptable practices and common deficiencies with these types of documents.

    Date: November 22, 2016
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    https://www.youtube.com/watch?v=va_9oyinGRs&feature=youtu.beThe seminar will focus on how to communicate with clients in a compliant manner. Key client communications covered will include: marketing, client agreements, know your client documentation, relationship disclosure information and client account statements. To assist firms with the documents they prepare to communicate with their clients, we will provide examples to illustrate acceptable practices and common deficiencies with these types of documents.

    Who should Attend:

    • Chief compliance officers and ultimate designated persons.
    • Compliance staff or individuals who review marketing materials or other client communication documents.

    Benefits:

    Gain insight into expectations on client communications.


    Documents:

    Webinar - Communicating with Clients in a Compliant Manner

  • Roundtable on Proposed Protocols for Meeting Vote Reconciliation

    November 18, 2016 @ 8:30 AM - 11:00 AM

    Other

    Roundtable on Proposed Protocols for Meeting Vote Reconciliation

    Roundtable to discuss issues identified during consultation on CSA Multilateral Staff Notice 54-304 Final Report on Review of the Proxy Voting Infrastructure and Request for Comments on Proposed Meeting Vote Reconciliation Protocols and next steps in implementing the proposed protocols. The proposed protocols outline roles and responsibilities and provide detailed guidance on operational processes for the key entities that implement meeting vote reconciliation.

    Date: November 18, 2016
    Time: 8:30 AM - 11:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen St W, Toronto ON M5H 3S8
    Event Details:

    Roundtable to discuss issues identified during consultation on CSA Multilateral Staff Notice 54-304 Final Report on Review of the Proxy Voting Infrastructure and Request for Comments on Proposed Meeting Vote Reconciliation Protocols and next steps in implementing the proposed protocols. The proposed protocols outline roles and responsibilities and provide detailed guidance on operational processes for the key entities that implement meeting vote reconciliation.

    Any interested parties who wish to attend the event are asked to send an email with full contact details to proxyvotingreview@osc.gov.on.ca. Space is limited. It is expected that a transcript will be posted on the OSC’s website following completion of the roundtable.

    Transcript

    Agenda

    Time

    Activity

    Panellists

    8:00 a.m. – 8:30 a.m.

    Arrival/Check-in

    8:30 a.m. – 9:00 a.m.

    Introduction and Opening Remarks

    Monica Kowal (OSC Vice-Chair)
    Winnie Sanjoto (Manager, Corporate Finance, OSC)
    Penny Rice (Shorecrest Group Ltd.)

    9:00 a.m. – 9:45 a.m.

    Topic 1: Implementing the Protocols and Measuring Short-term Progress

    Josh Bezonsky (OMERS)
    Lara Donaldson (Securities Transfer Association of Canada)
    Frederic Duguay (Hansell LLP)
    Judy Foster (Scotiabank)
    David Masse (Governance Professionals of Canada)
    Penny Rice (Shorecrest Group Ltd.)
    Jeri Trotter (Broadridge)

    9:45 a.m. – 10:00 a.m.

    Break

    10:00 a.m. – 10:55 a.m.

    Topic 2: Exploring a Longer Term Strategy for the Proxy Voting Infrastructure

    10:55 a.m. – 11:00 a.m.

    Closing Remarks


  • OSC in the Community (Kitchener)

    November 17, 2016 @ 1:00 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Kitchener)

    OSC staff will be speaking to Unifor Local 1451 retirees about fraud prevention. The Protect Your Money presenters will help retirees learn to recognize the red flags of fraud and also hear about some common types of fraud.

    Date: November 17, 2016
    Time: 1:00 PM - 1:30 PM
    Location: Unifor Hall, 600 Wabanaki Drive, Kitchener
    Event Details:

    OSC staff will be speaking to Unifor Local 1451 retirees about fraud prevention. The Protect Your Money presenters will help retirees learn to recognize the red flags of fraud and also hear about some common types of fraud.

  • OSC in the Community (Brampton)

    November 08, 2016 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Brampton)

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: November 08, 2016
    Time: 1:30 PM - 2:30 PM
    Location: 500 Ray Lawson, South Fletcher Library, Craft Room, Brampton
    Event Details:

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Brampton)

    November 04, 2016 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Brampton)

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: November 04, 2016
    Time: 1:30 PM - 2:30 PM
    Location: 245 Queen St. W., Unit 2, Brampton
    Event Details:

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC In the Community (Etobicoke)

    November 03, 2016 @ 1:15 PM - 2:30 PM

    OSC in the Community

    OSC In the Community (Etobicoke)

    OSC staff will be speaking at a Seniors luncheon about investment fraud protection. Seniors will learn to recognize the red flags of fraud and also hear about some common types of fraud.

    Date: November 03, 2016
    Time: 1:15 PM - 2:30 PM
    Location: St. James United Church, 400 Burnhamthorpe Rd., Etobicoke
    Event Details:

    OSC staff will be speaking at a Seniors luncheon about investment fraud protection. Seniors will learn to recognize the red flags of fraud and also hear about some common types of fraud.

  • OSC Dialogue 2016

    November 02, 2016

    Other

    OSC Dialogue 2016

    Join us at this year’s OSC Dialogue taking place on Wednesday, November 2, 2016 at the Toronto Board of Trade.

    Experts will discuss disruption in the capital markets and what it means for investors, regulation and economic growth.

    For inquiries, please e-mail dialogue@osc.gov.on.ca.

    Date: November 02, 2016
    Time: 8:00 AM - 3:30 PM
    Location: Toronto Board of Trade, 77 Adelaide St W, Toronto
    Event Details:

    Join us at this year’s OSC Dialogue taking place on Wednesday, November 2, 2016 at the Toronto Board of Trade.

    Experts will discuss disruption in the capital markets and what it means for investors, regulation and economic growth.

    To visit the OSC Dialogue 2016 web page click here.

    Agenda

    8:30

    Welcome

    8:45

    Gamechanger: How Blockchain Could Challenge the Fundamentals of Our Markets

    Keynote Discussion (Audio)

    • Maureen Jensen (OSC)
    • Blythe Masters (Digital Asset Holdings)
    9:30

    Blockchain and the Future of Canada’s Capital Markets

    Panel (Audio)

    • Christine Duhaime (Digital Finance Institute)
    • Rizwan Khalfan (TD Bank Group)
    • Joseph Lubin (ConsenSys and Ethereum)
    • Jesse McWaters (World Economic Forum)
    • David Rutter (R3)
    • Moderator: Chami Akmeemana (OSC)
    10:30

    Break

    10:45

    Fintech: What It Means for Investors and Emerging Businesses

    Panel (Audio)

    • Randy Cass (Nest Wealth)
    • Kelly Peters (BEworks)
    • Mark Wiedman (BlackRock)
    • Troy Wright (Vault Circle)
    • Moderator: Pat Chaukos (OSC)
    11:45

    Networking Lunch

    12:45

    Welcome Back

     

    Disruption and the Investor: A Regulator’s Perspective

    Keynote Discussion (Audio)

    • Maureen Jensen (OSC)
    • Mary Jo White (SEC)
    1:30

    Innovative Oversight in the Midst of Disruption

    Panel (Audio)

    • Maureen Jensen (OSC)
    • Rick Ketchum (Formerly FINRA)
    • John Price (ASIC)
    • Carolyn Wilkins (Bank of Canada)
    • Moderator: Tim Kiladze (Globe and Mail)
    2:30

    Regulators and Entrepreneurs: How We Work Together

    Panel (Audio)

    • Mary Condon (Osgoode Hall Law School)
    • Bob Ferguson (U.K. FCA)
    • Teri Kirk (FundingPortal)
    • John Ruffolo (OMERS Ventures)
    • Moderator: Huston Loke (OSC)
    3:30

    Close

     

  • OSC Chair Maureen Jensen Speaks at the Shareholder Rights Conference

    October 28, 2016 @ 9:00 AM - 1:00 PM

    Speech

    OSC Chair Maureen Jensen Speaks at the Shareholder Rights Conference

    Maureen Jensen provides closing remarks at the Shareholder Rights Conference co-hosted by the University of Toronto Faculty of Law, the Canadian Foundation for Investor Rights (FAIR Canada) and the Canadian Coalition for Good Governance on the topic of “Are Shareholder Rights Relevant in Today’s Capital Markets?”

    Date: October 28, 2016
    Time: 9:00 AM - 1:00 PM
    Location: Faculty of Law, University of Toronto
    Event Details:

    Maureen Jensen provides closing remarks at the Shareholder Rights Conference co-hosted by the University of Toronto Faculty of Law, the Canadian Foundation for Investor Rights (FAIR Canada) and the Canadian Coalition for Good Governance on the topic of “Are Shareholder Rights Relevant in Today’s Capital Markets?”


    Click here to view →
  • OSC in the Community (Belleville)

    October 27, 2016 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Belleville)

    OSC staff will be speaking to members of the Retired Women Teachers of Ontario Trenton and Belleville Branch. The Protect Your Money presentation will help members learn how to protect themselves from investment fraud, how to work with an advisor and how to better manage their finances.

    Date: October 27, 2016
    Time: 7:00 PM - 8:30 PM
    Location: Westminster Church, 1199 Wallbridge Loyalist Road, Belleville
    Event Details:

    OSC staff will be speaking to members of the Retired Women Teachers of Ontario Trenton and Belleville Branch. The Protect Your Money presentation will help members learn how to protect themselves from investment fraud, how to work with an advisor and how to better manage their finances.

  • OSC in the Community (Aberfoyle)

    October 26, 2016 @ 10:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Aberfoyle)

    OSC staff will be speaking to the members of the Bell Pensions Group Southwestern Ontario about investment fraud and client advisor relationship. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: October 26, 2016
    Time: 10:30 AM - 12:00 PM
    Location: Puslinch Community Centre, 23 Brock Rd. South, Puslinch (Aberfoyle)
    Event Details:

    OSC staff will be speaking to the members of the Bell Pensions Group Southwestern Ontario about investment fraud and client advisor relationship. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (St. Catharines)

    October 18, 2016 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (St. Catharines)

    OSC staff will be speaking to the members of CARP Niagara Chapter. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: October 18, 2016
    Time: 2:00 PM - 3:30 PM
    Location: Ina Grafton Gage Retirement Community, Building B., Auditorium, 413 Linwell Rd., St. Catharines
    Event Details:

    OSC staff will be speaking to the members of CARP Niagara Chapter. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (teletownhall)

    October 13, 2016 @ 6:30 PM - 7:30 PM

    OSC in the Community

    teletownhall

    The OSC's Investor Office “teletownhall” outreach and consultation format allows us to reach and connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Register to be called to join the teletownhall on October 13 at 6:30pm.

    Date: October 13, 2016
    Time: 6:30 PM - 7:30 PM
    Location:
    Event Details:

    The OSC's Investor Office “teletownhall” outreach and consultation format allows us to reach and connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Register to be called to join the teletownhall on October 13 at 6:30pm.

  • OSC in the Community (Toronto)

    September 29, 2016 @ 1:00 PM - 1:45 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to members of Sprint Senior Care about fraud prevention, selecting and working with an advisor and how to make more informed decisions.

    Date: September 29, 2016
    Time: 1:00 PM - 1:45 PM
    Location: Timothy Eaton Church, 230 St. Clair Avenue W., Toronto, ON
    Event Details:

    OSC staff will be speaking to members of Sprint Senior Care about fraud prevention, selecting and working with an advisor and how to make more informed decisions.

  • OSC in the Community (Thunder Bay)

    September 28, 2016 @ 9:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Thunder Bay)

    Ontario Securities Commission, Canadian Anti-Fraud Centre, Elder Abuse Ontario and Centre for Education and Research on Aging & Health will present a half-day workshop entitled How to Protect Your Money!. OSC staff will talk about fraud prevention, working with an advisor and where to find unbiased information. See attached flyer for more information and to register.

    Date: September 28, 2016
    Time: 9:30 AM - 12:00 PM
    Location: Georgian Room, St. Joseph's Heritage, 63 Carrie Street, Thunder Bay, ON
    Event Details:

    Ontario Securities Commission, Canadian Anti-Fraud Centre, Elder Abuse Ontario and Centre for Education and Research on Aging & Health will present a half-day workshop entitled How to Protect Your Money!. OSC staff will talk about fraud prevention, working with an advisor and where to find unbiased information. See attached flyer for more information and to register.

  • OSC Chair Maureen Jensen Speaks at Toronto Region Board of Trade

    September 27, 2016 @ 11:30 AM - 1:30 PM

    Speech

    OSC Chair Maureen Jensen Speaks at Toronto Region Board of Trade

    In her first keynote address, Maureen Jensen, Chair and CEO of the Ontario Securities Commission (OSC), will discuss game-changing initiatives by regulators and what they will mean for market participants and investors.

    Date: September 27, 2016
    Time: 11:30 AM - 1:30 PM
    Location: Toronto Region Board of Trade, 1 First Canadian Place, 77 Adelaide St. W. Entrance, 4th Floor
    Event Details:

    In her first keynote address, Maureen Jensen, Chair and CEO of the Ontario Securities Commission (OSC), will discuss game-changing initiatives by regulators and what they will mean for market participants and investors. Topics will include the proposed best interest standard, regulatory consideration of mutual fund fees and the launch of the OSC's Office of the Whistleblower.


    Click here to view →
  • OSC in the Community (Owen Sound)

    September 14, 2016 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Owen Sound)

    OSC staff will be a speaking at the Retired Women's Teachers of Ontario Owen Sound branch meeting. The Protect Your Money presentation will cover the red flags of investment fraud and how to work with their advisor.

    Date: September 14, 2016
    Time: 1:00 PM - 2:30 PM
    Location: Georgian Shores United Church, 997 4th Ave. E., Owen Sound, ON
    Event Details:

    OSC staff will be a speaking at the Retired Women's Teachers of Ontario Owen Sound branch meeting. The Protect Your Money presentation will cover the red flags of investment fraud and how to work with their advisor.

  • OSC in the Community (Toronto)

    August 17, 2016 @ 2:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to members of the Islington Seniors Centre. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: August 17, 2016
    Time: 2:00 PM - 3:00 PM
    Location: 4968 Dundas St. W., Toronto, ON
    Event Details:

    OSC staff will be speaking to members of the Islington Seniors Centre. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Markham)

    August 16, 2016 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to members of the Markham African Caribbean Canadian Association. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: August 16, 2016
    Time: 1:00 PM - 2:30 PM
    Location: 505 Hood Road, Unit 5, Markham
    Event Details:

    OSC staff will be speaking to members of the Markham African Caribbean Canadian Association. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Cambridge)

    August 09, 2016 @ 10:00 AM - 10:30 AM

    OSC in the Community

    OSC in the Community (Cambridge)

    OSC staff will be speaking at the Annual Convention of the United Senior Citizens of Ontario Inc. Convention attendees will learn about investment frauds and scam and how to work with their financial advisor.

    Date: August 09, 2016
    Time: 10:00 AM - 10:30 AM
    Location: Cambridge, Ontario
    Event Details:

    OSC staff will be speaking at the Annual Convention of the United Senior Citizens of Ontario Inc. Convention attendees will learn about investment frauds and scam and how to work with their financial advisor.

  • OSC in the Community (Toronto)

    June 23, 2016 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: June 23, 2016
    Time: 2:00 PM - 3:30 PM
    Location: TPL Dufferin/St. Clair Branch, 1625 Dufferin Street, Toronto
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • CSA Consultation Paper 33-404 (Session B: In-person)

    June 23, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Best Interest Standard (Session B: In-person)

    This seminar will provide an overview of CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients, including the proposed targeted reforms (e.g. conflicts, KYC, KYP, suitability, use of titles) and proposed regulatory best interest standard described in the Paper.

    Date: June 23, 2016
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide an overview of CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients, including the proposed targeted reforms (e.g. conflicts, KYC, KYP, suitability, use of titles) and proposed regulatory best interest standard described in the Paper.

    Who should attend:

    Dealers and advisers who are interested in the proposals in CSA Consultation Paper 33-404 and who would like more information about this initiative.

    Benefits:

    Gain an awareness of the background and content of CSA Consultation Paper 33-404.

    Documents:

  • Slides: Consultation Paper 33-404
  • CSA Consultation Paper 33-404 (Session A: Webinar)

    June 20, 2016 @ 1:00 PM - 3:00 PM

    Registrant Outreach Seminars

    Best Interest Standard (Session A: Webinar)

    This seminar will provide an overview of CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients, including the proposed targeted reforms (e.g. conflicts, KYC, KYP, suitability, use of titles) and proposed regulatory best interest standard described in the Paper.

    Date: June 20, 2016
    Time: 1:00 PM - 3:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide an overview of CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients, including the proposed targeted reforms (e.g. conflicts, KYC, KYP, suitability, use of titles) and proposed regulatory best interest standard described in the Paper.

    Who should attend:

    Dealers and advisers who are interested in the proposals in CSA Consultation Paper 33-404 and who would like more information about this initiative.

    Benefits:

    Gain an awareness of the background and content of CSA Consultation Paper 33-404.

    Documents:

  • Slides: Consultation Paper 33-404
  • OSC in the Community (Sudbury)

    June 16, 2016 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Sudbury)

    OSC will be speaking about fraud awareness and prevention at the Greater Sudbury Seniors event hosted by the Greater Sudbury Seniors Network to celebrate World Elder Abuse Awareness Day. For more information, click here.

    Date: June 16, 2016
    Time: 10:00 AM - 3:00 PM
    Location: Royal Canadian Legion Branch 76, 1533 Weller Street, Sudbury, Ontario
    Event Details:

    OSC will be speaking about fraud awareness and prevention at the Greater Sudbury Seniors event hosted by the Greater Sudbury Seniors Network to celebrate World Elder Abuse Awareness Day. For more information, click here.

  • OSC in the Community (Toronto)

    June 16, 2016 @ 2:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: June 16, 2016
    Time: 2:00 PM - 3:00 PM
    Location: TPL Wychwood Library, 1431 Bathurst Street, Toronto
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Etobicoke)

    June 14, 2016 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to the Investment Club of the Probus Club Kingsway/Islington. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: June 14, 2016
    Time: 1:30 PM - 3:00 PM
    Location: Fairfax Senior Centre, 80 Lothian Drive, Etobicoke, ON
    Event Details:

    OSC staff will be speaking to the Investment Club of the Probus Club Kingsway/Islington. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Ontario)

    June 09, 2016 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Ontario)

    The OSC's Investor Office recently introduced a new “teletownhall” outreach and consultation format that allows us to reach and connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To join the teletownhall on June 9 at 6:30pm, dial 1-877-229-8493 and enter ID Code: 115074.

    Date: June 09, 2016
    Time: 6:30 PM - 7:30 PM
    Location: Ontario
    Event Details:

    The OSC's Investor Office recently introduced a new “teletownhall” outreach and consultation format that allows us to reach and connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To join the teletownhall on June 9 at 6:30pm, dial 1-877-229-8493 and enter ID Code: 115074.

  • OSC Chair Maureen Jensen speaks at the International Women's Forum Canada Conference

    June 09, 2016 @ 2:30 PM - 6:00 PM

    Speech

    OSC Chair Maureen Jensen speaks at the International Women's Forum Canada Conference

    Maureen Jensen provides an update on the status of the new ‘comply or explain’ disclosure rules on gender diversity.

    Date: June 09, 2016
    Time: 2:30 PM - 6:00 PM
    Location: Park Hyatt Hotel
    Event Details:

    Maureen Jensen provides an update on the status of the new ‘comply or explain’ disclosure rules on gender diversity. She is followed by a panel of seasoned corporate directors, who address issues and challenges they faced in being effective directors.

    Panellists Include:

    • Mary-Ann Bell (Corporate Director, Cogeco Inc., Valener Inc., Cominar REIT and NAV Canada)
    • Beth Horowitz (Former President & CEO, Amex Bank of Canada)
    • Sherry Porter (Chair, Nova Scotia Liquor Corporation)
    • Sarah Raiss (Corporate Director, Loblaw Companies, Commercial Metals and Vermilion Energy)
    • Pauline Couture (Senior communications strategist and consultant) - Moderator
  • OSC Chair Maureen Jensen speaks on Women's Economic Empowerment Panel

    June 07, 2016 @ 9:45 AM - 11:00 AM

    Speech

    OSC Chair & CEO Maureen Jensen speaks on Women's Economic Empowerment Panel

    Maureen Jensen speaks on issues of women’s economic empowerment. The panel follows Premier Wynne's announcement that the Ontario government set gender diversity targets for provincial boards and agencies.

    Date: June 07, 2016
    Time: 9:45 AM - 11:00 AM
    Location: Rotman School of Management - 105 St. George St.
    Event Details:
    Panellists include:
    • Hon. Kathleen Wynne (Premier of Ontario)
    • Hon. Charles Sousa (Minister of Finance)
    • Hon. Tracy MacCharles (Minister Responsible for Women's Issues)
    • Dr. Phumzile Mlambo-Ngcuka (United Nations Under-Secretary-General and Executive Director, UN Women)
    • Deborah Gillis (President and CEO, Catalyst) - moderator
  • Completing the Risk Assessment Questionnaire (Session B: In-person)

    May 31, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Completing the Risk Assessment Questionnaire (Session B: In-person)

    This seminar will assist registrants in completing the 2016 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 touch on frequently asked questions and walk participants through areas of the RAQ which have been challenging for registrants in the past.

    Date: May 31, 2016
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details: Register (In-person)

    This seminar will assist registrants in completing the 2016 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 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.



    Register (In-person)
  • Completing the Risk Assessment Questionnaire (Session A: Webinar)

    May 30, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Completing the Risk Assessment Questionnaire (Session A: Webinar)

    This seminar will assist registrants in completing the 2016 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 touch on frequently asked questions and walk participants through areas of the RAQ which have been challenging for registrants in the past

    Date: May 30, 2016
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details: Register (On-line)

    This seminar will assist registrants in completing the 2016 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 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.


    Register (On-line)
  • OSC in the Community (Toronto)

    May 19, 2016 @ 1:15 PM - 2:45 PM

    OSC in the Community

    OSC in the Community (Toronto)

     OSC will be speaking to York-Fairbank Centre for Seniors members. The presentation will take place during their group dining program. The topics covered will include fraud prevention, the client-advisor relationship and how to make more informed investing decisions. For more information, contact 416-651-8300.

    Date: May 19, 2016
    Time: 1:15 PM - 2:45 PM
    Location: British Methodist Church, 1828 Eglinton St. W., Toronto
    Event Details:

    OSC will be speaking to York-Fairbank Centre for Seniors members. The presentation will take place during their group dining program. The topics covered will include fraud prevention, the client-advisor relationship and how to make more informed investing decisions. For more information, contact 416-651-8300.

  • OSC in the Community (Toronto)

    May 18, 2016 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

    Date: May 18, 2016
    Time: 1:30 PM - 3:00 PM
    Location: Toronto Public Library - St. James Branch, 495 Sherbourne Street, Toronto
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

  • OSC in the Community (Toronto)

    May 05, 2016 @ 1:15 PM - 2:45 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC will be speaking to York-Fairbank Centre for Seniors members. The presentation will take place during their group dining program. The topics covered will include fraud prevention, the client-advisor relationship and how to make more informed investing decisions. For more information, contact 416-651-8300.

    Date: May 05, 2016
    Time: 1:15 PM - 2:45 PM
    Location: Silverthorne Place, 600 Rogers Road, Toronto
    Event Details:

    OSC will be speaking to York-Fairbank Centre for Seniors members. The presentation will take place during their group dining program. The topics covered will include fraud prevention, the client-advisor relationship and how to make more informed investing decisions. For more information, contact 416-651-8300.

  • OSC in the Community (Toronto)

    May 03, 2016 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

    Date: May 03, 2016
    Time: 7:00 PM - 8:30 PM
    Location: Toronto Public Library - Mimico Centennial Branch, 47 Station Road, Toronto
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

  • OSC in the Community (Etobicoke)

    April 28, 2016 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Etobicoke)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, working with an advisor and how to make more informed investing decisions. This free presentation is hosted by CARP Etobicoke. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: April 28, 2016
    Time: 1:30 PM - 2:30 PM
    Location: Royal Canadian Legion, 11 Irwin Road, Etobicoke
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, working with an advisor and how to make more informed investing decisions. This free presentation is hosted by CARP Etobicoke. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Belleville)

    April 18, 2016 @ 12:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Belleville)

    Ontario Securities Commission will be speaking to the Rotary Club of Belleville about investment frauds and scams and fraud prevention.

    Date: April 18, 2016
    Time: 12:00 PM - 2:30 PM
    Location: Rotary Club, Travelodge/Ramada Inn, 11 Bay Bridge Rd,. Belleville
    Event Details:

    Ontario Securities Commission will be speaking to the Rotary Club of Belleville about investment frauds and scams and fraud prevention.

  • Compliance with Money Laundering Legislation (Session B: In-person)

    April 14, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Compliance with Money Laundering Legislation (Session B: In-person)

    Representatives from FINTRAC will discuss its risk based approach to compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its role in detecting, preventing and deterring money laundering. OSC staff will also discuss its approach to monitoring compliance with the PCMLTFA during compliance reviews and discuss common findings in this area.

    Date: April 14, 2016
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details: Description:

    Representatives from FINTRAC will discuss its risk based approach to compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its role in detecting, preventing and deterring money laundering. OSC staff will also discuss its approach to monitoring compliance with the PCMLTFA during compliance reviews and discuss common findings in this area.

    Who should attend:

    Registered representatives, chief compliance officers and ultimate designated persons of registrant firms that are reporting entities.

    Benefits:

    Hear about issues identified by both the OSC and FINTRAC in this area for consideration at your firm from a compliance standpoint to enhance policies and procedures relating to the PCMLTFA


    Documents:

    Slides: Compliance with Money Laundering legislation
  • OSC in the Community (Barrie)

    April 14, 2016 @ 10:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Barrie)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: April 14, 2016
    Time: 10:30 AM - 12:00 PM
    Location: Allandale Recreation Centre, 190 Bayview Drive, Barrie
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • Compliance with Money Laundering Legislation (Session A: Webinar)

    April 14, 2016 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Compliance with Money Laundering Legislation (Session A: Webinar)

    Representatives from FINTRAC will discuss its risk based approach to compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its role in detecting, preventing and deterring money laundering. OSC staff will also discuss its approach to monitoring compliance with the PCMLTFA during compliance reviews and discuss common findings in this area.

    Date: April 14, 2016
    Time: 10:00 AM - 12:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details: Description:

    Representatives from FINTRAC will discuss its risk based approach to compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its role in detecting, preventing and deterring money laundering. OSC staff will also discuss its approach to monitoring compliance with the PCMLTFA during compliance reviews and discuss common findings in this area.

    Who should attend:

    Registered representatives, chief compliance officers and ultimate designated persons of registrant firms that are reporting entities.

    Benefits:

    Hear about issues identified by both the OSC and FINTRAC in this area for consideration at your firm from a compliance standpoint to enhance policies and procedures relating to the PCMLTFA


    Documents:

    Slides: Compliance with Money Laundering legislation
  • OSC in the Community (Toronto)

    April 12, 2016 @ 2:00 PM - 4:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Ontario Securities Commission (OSC) will be at the Senior's Safety Seminar organized by the Community Police Liaison Committee and 33 Division Toronto Police. Attend this event to learn about pedestrian safety, elder abuse and frauds and scams. Speakers from the OSC will talk about protecting your money from investment frauds and scams.

    Date: April 12, 2016
    Time: 2:00 PM - 4:00 PM
    Location: Community centre room, Better Living Health/Thompson House, 1 Overland Drive, Toronto
    Event Details:

    Ontario Securities Commission (OSC) will be at the Senior's Safety Seminar organized by the Community Police Liaison Committee and 33 Division Toronto Police. Attend this event to learn about pedestrian safety, elder abuse and frauds and scams. Speakers from the OSC will talk about protecting your money from investment frauds and scams.

  • OSC in the Community (Thornhill)

    April 07, 2016 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Thornhill)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: April 07, 2016
    Time: 7:00 PM - 8:30 PM
    Location: German Mills School, 61 Simonston Blvd., Thornhill
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions. To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Mississauga)

    March 31, 2016 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    Ontario Securities Commission will be at the Seniors Information and Active Living Fair. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: March 31, 2016
    Time: 1:30 PM - 3:00 PM
    Location: Square One Older Adult Centre, Square One Shopping Centre, 100 City Centre Drive, Mississauga
    Event Details:

    Ontario Securities Commission will be at the Seniors Information and Active Living Fair. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Toronto)

    March 24, 2016 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: March 24, 2016
    Time: 1:00 PM - 2:30 PM
    Location: City Hall Library, Toronto City Hall, 100 Queen St. W., Toronto M5H 2N2
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Fergus)

    March 18, 2016 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Fergus)

    Ontario Securities Commission will be at the Senior Centre's Active Living and Retirement Show. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: March 18, 2016
    Time: 1:00 PM - 2:00 PM
    Location: Centre Wellington Sportsplex - 550 Belsyde Ave., Fergus
    Event Details:

    Ontario Securities Commission will be at the Senior Centre's Active Living and Retirement Show. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Toronto)

    March 16, 2016 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Ontario Securities Commission will be at the Applegrove Active Living Fair. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: March 16, 2016
    Time: 1:00 PM - 2:00 PM
    Location: Applegrove Community Complex, 60 Woodfield Road, Toronto
    Event Details:

    Ontario Securities Commission will be at the Applegrove Active Living Fair. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Toronto)

    March 08, 2016 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

    Date: March 08, 2016
    Time: 1:00 PM - 2:30 PM
    Location: Albion Library, Shoppers World Mall Albion, 1515 Albion Rd., Toronto M9V 1B2
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca.

  • OSC in the Community (Toronto)

    February 25, 2016 @ 6:30 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

    Date: February 25, 2016
    Time: 6:30 PM - 8:00 PM
    Location: College/Shaw Library, 766 College St., Toronto M6G 1C4
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

  • Insider Reporting and SEDI

    February 24, 2016 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Insider Reporting and SEDI

    This seminar will review insider reporting obligations for reporting issuers and their insiders under National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104). OSC staff will also provide a walk through on how to submit insider filings electronically on SEDI (System for Electronic Disclosure by Insiders) and discuss common filing errors and provide tips on how to avoid them.

    Date: February 24, 2016
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will review insider reporting obligations for reporting issuers and their insiders under National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104). OSC staff will also provide a walk through on how to submit insider filings electronically on SEDI (System for Electronic Disclosure by Insiders) and discuss common filing errors and provide tips on how to avoid them.


    Who should attend:

    Reporting insiders and individuals responsible for the preparation, review and filing of insider reports.

    Why You Should Attend:

    • To learn more about the requirements of NI 55-104 and National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI)
    • To understand the common issues noted by OSC staff when reviewing insider reports
    • To gain a better understanding of SEDI and how to navigate the system

    Documents

  • OSC in the Community (Toronto)

    February 17, 2016 @ 2:00 PM - 4:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Ontario Securities Commission will be at the Senior's Safety Town Hall together with speakers from Toronto Police Services, CARP and OSC. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

    Date: February 17, 2016
    Time: 2:00 PM - 4:00 PM
    Location: Old York Tower, 85 The Esplanade, Toronto
    Event Details:

    Ontario Securities Commission will be at the Senior's Safety Town Hall together with speakers from Toronto Police Services, CARP and OSC. Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

  • Mutual Fund Fees (Session A: Webinar)

    February 11, 2016 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Mutual Fund Fees (Session A: Webinar)
    This seminar will provide details on the independent research that was commissioned by the CSA on mutual fund fees. Dr. Edwin Weinstein, President of The Brondesbury Group, will discuss the findings as outlined in its report entitled “Mutual Fund Fee Research”. Professor Douglas Cumming, Ontario Research Chair at the Schulich School of Business at York University, will discuss the results of his research as outlined in the paper "A Dissection of Mutual Fund Fees, Flows and Performance".

    Date: February 11, 2016
    Time: 10:00 AM - 12:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details: Description:

    This seminar will provide details on the independent research that was commissioned by the CSA on mutual fund fees. Dr. Edwin Weinstein, President of The Brondesbury Group, will discuss the findings as outlined in its report entitled “Mutual Fund Fee Research”. Professor Douglas Cumming, Ontario Research Chair at the Schulich School of Business at York University, will discuss the results of his research as outlined in the paper "A Dissection of Mutual Fund Fees, Flows and Performance".

    Who should attend:

    Investment fund industry participants, such as investment fund managers and dealers and advisers who recommend mutual funds to their clients, who are interested in the research conducted by The Brondesbury Group and Professor Cummings

    Benefits:

    Gain an awareness of the research done to date on mutual fund fees.


    Documents:
  • Mutual Fund Fees (Session B: In-person)

    February 11, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Mutual Fund Fees (Session B: In-Person)
    This seminar will provide details on the independent research that was commissioned by the CSA on mutual fund fees. Dr. Edwin Weinstein, President of The Brondesbury Group, will discuss the findings as outlined in its report entitled “Mutual Fund Fee Research”. Professor Douglas Cumming, Ontario Research Chair at the Schulich School of Business at York University, will discuss the results of his research as outlined in the paper "A Dissection of Mutual Fund Fees, Flows and Performance".

    Date: February 11, 2016
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details: Description:

    This seminar will provide details on the independent research that was commissioned by the CSA on mutual fund fees. Dr. Edwin Weinstein, President of The Brondesbury Group, will discuss the findings as outlined in its report entitled “Mutual Fund Fee Research”. Professor Douglas Cumming, Ontario Research Chair at the Schulich School of Business at York University, will discuss the results of his research as outlined in the paper "A Dissection of Mutual Fund Fees, Flows and Performance".

    Who should attend:

    Investment fund industry participants, such as investment fund managers and dealers and advisers who recommend mutual funds to their clients, who are interested in the research conducted by The Brondesbury Group and Professor Cummings

    Benefits:

    Gain an awareness of the research done to date on mutual fund fees.

    Documents:
  • OSC in the Community (Toronto)

    February 11, 2016 @ 6:30 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

    Date: February 11, 2016
    Time: 6:30 PM - 8:00 PM
    Location: Fairview Library, 35 Fairview Mall Dr., Toronto M2J 4S4
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    To register for the free presentation, call 416-593-8314 or toll free 1-877-785-1555 or email InvestorOffice@osc.gov.on.ca

  • OSC in the Community (Toronto)

    February 01, 2016 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: February 01, 2016
    Time: 2:00 PM - 3:30 PM
    Location: Eatonville Library, 340 Burnhamthorpe Rd., Toronto M9B 2B1
    Event Details:

    A multi-faceted initiative, OSC staff have been travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff have been meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Raising money in the capital markets

    January 21, 2016 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Raising money in the capital markets

    The seminar will discuss securities regulatory issues for small and medium-sized companies looking to raise capital in the public and private markets. We will examine key requirements for public offerings and private placements, including information about new capital raising prospectus exemptions.

    Date: January 21, 2016
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The seminar will discuss securities regulatory issues for small and medium-sized companies looking to raise capital in the public and private markets. We will examine key requirements for public offerings and private placements, including information about new capital raising prospectus exemptions.


    Who should attend:

    • CEOs and CFOs
    • Directors
    • Legal counsel and other advisors

    Why You Should Attend:

    • To learn the options available for raising money in Ontario's capital markets
    • To obtain guidance on the specific process and requirements for raising capital and to understand the roles of the parties involved in the process
    • To understand the differences between public versus private financing options
    • Individuals and advisors of private companies considering going public may wish to attend to learn about ongoing public company requirements

    Slides:

    Raising Money in the Capital Markets
  • OSC in the Community (Toronto)

    January 20, 2016 @ 1:00 PM - 1:45 PM

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: January 20, 2016
    Time: 1:00 PM - 1:45 PM
    Location: North Toronto Memorial Community Centre, 200 Eglinton Ave. W., Toronto M4R 1A7
    Event Details:

    A multi-faceted initiative, OSC staff have been travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff have been meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Continuous Disclosure Obligations

    December 15, 2015 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Continuous Disclosure Obligations

    This seminar will include the review of obligations under NI 51-102 Continuous Disclosure Obligations, including MD&A and financial statement observations, venture issuer regulation, procedural information on MCTO/CTO, defaults and revocation of cease trade orders, gender diversity, fees, and other relevant topics.

    Date: December 15, 2015
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will include the review of obligations under NI 51-102 Continuous Disclosure Obligations, including MD&A and financial statement observations, venture issuer regulation, procedural information on MCTO/CTO, defaults and revocation of cease trade orders, gender diversity, fees, and other relevant topics.


    Who should attend:

    • CFOs
    • Advisors to companies
    • Preparers of financial statements & MD&A
    • In-house or external legal counsel

    Why You Should Attend:

    • To understand the important ongoing securities requirements
    • To be aware of common filing deficiencies so you can avoid them
    • To hear directly from OSC staff on best practices for engaging with staff on ongoing filing issues
    • Individuals and advisors of private companies considering going public may wish to attend to learn about ongoing public company requirements

    Documents

  • OSC in the Community (Toronto)

    December 03, 2015 @ 2:30 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: December 03, 2015
    Time: 2:30 PM - 3:30 PM
    Location: Sprint Senior Care, 140 Merton St., Toronto M4S 1A1
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC in the Community (Toronto)

    November 27, 2015 @ 2:30 PM - 3:15 PM

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 27, 2015
    Time: 2:30 PM - 3:15 PM
    Location: Sprint Senior Care, 140 Merton St., Toronto M4S 1A1
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Exempt market review (Session B: In-Person)

    November 25, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Exempt market review (Session B: In-Person)

    The seminar will focus on amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106). The amendments came into force on May 5, 2015 and modified certain existing prospectus exemptions and introduced new prospectus exemptions. Also, the seminar will discuss additional capital raising exemptions that are expected to come into force later this year, namely an offering memorandum exemption and a crowdfunding exemption.

     

    Date: November 25, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The seminar will focus on amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106). The amendments came into force on May 5, 2015 and modified certain existing prospectus exemptions and introduced new prospectus exemptions. Also, the seminar will discuss additional capital raising exemptions that are expected to come into force later this year, namely an offering memorandum exemption and a crowdfunding exemption.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants that deal in the exempt market. Individuals involved in capital raising, including dealing representatives at exempt market dealer firms.

    Benefits:

    • Understand the prospectus exemptions available as a result of amendments to NI 45-106
    • Gain insight into how these changes may impact compliance and oversight of exempt market distributions at your firm

    Documents:

    November 24 and 25, 2015 Sessions: Exempt market review
    Webinar video - The OSC exempt market reform initiative
  • Mineral Disclosure Best Practices

    November 25, 2015 @ 10:00 AM - 11:30 AM

    SME Institute Seminars

    Mineral Disclosure Best Practices

    This seminar will assist mining participants with improving their technical disclosure and provide an opportunity to hear directly from the regulator about common disclosure pitfalls and challenges. Findings from recent Staff Notices (CSA Staff Notice 43-309 Review of Website Investor Presentations by Mining Issuers and OSC Staff Notice 51-722 Report on a Review of Mining Issuers' Management's Discussion and Analysis and Guidance) will also be discussed. Topics covered will include:

    Date: November 25, 2015
    Time: 10:00 AM - 11:30 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will assist mining participants with improving their technical disclosure and provide an opportunity to hear directly from the regulator about common disclosure pitfalls and challenges. Findings from recent Staff Notices (CSA Staff Notice 43-309 Review of Website Investor Presentations by Mining Issuers and OSC Staff Notice 51-722 Report on a Review of Mining Issuers' Management's Discussion and Analysis and Guidance) will also be discussed. Topics covered will include:

    • Overview of NI 43-101 Standards of Disclosure for Mineral Projects
    • Common disclosure pitfalls and practical guidance
    • Technical reports and how to improve disclosure
    • MD&A best practice tips
    • Website disclosure hazards

    Who should attend:

    • CEOs or CFOs
    • Qualified persons
    • Investor relation individuals
    • Preparers of technical disclosures
    • Legal counsel

    Why You Should Attend:

    • To learn more about NI 43-101 from OSC mining experts
    • To understand what OSC staff look for when reviewing technical disclosures
    • To improve technical disclosures using practical examples

    Presentation documents:

  • Exempt market review (Session A: Webinar)

    November 24, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Exempt market review (Session A: Webinar)

    The seminar will focus on amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106). The amendments came into force on May 5, 2015 and modified certain existing prospectus exemptions and introduced new prospectus exemptions. Also, the seminar will discuss additional capital raising exemptions that are expected to come into force later this year, namely an offering memorandum exemption and a crowdfunding exemption.

    Date: November 24, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The seminar will focus on amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106). The amendments came into force on May 5, 2015 and modified certain existing prospectus exemptions and introduced new prospectus exemptions. Also, the seminar will discuss additional capital raising exemptions that are expected to come into force later this year, namely an offering memorandum exemption and a crowdfunding exemption.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants that deal in the exempt market. Individuals involved in capital raising, including dealing representatives at exempt market dealer firms.

    Benefits:

    • Understand the prospectus exemptions available as a result of amendments to NI 45-106
    • Gain insight into how these changes may impact compliance and oversight of exempt market distributions at your firm

    Documents:

    November 24 and 25, 2015 Sessions: Exempt market review
    Webinar video - The OSC exempt market reform initiative
  • OSC in the Community (Hamilton)

    November 20, 2015 @ 10:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Hamilton)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 20, 2015
    Time: 10:00 AM - 12:00 PM
    Location: Sackville Centre, 780 Upper Wentworth Street, Hamilton L9A 4V5
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC in the Community (Windsor)

    November 17, 2015 @ 11:30 AM - 1:00 PM

    OSC in the Community

    OSC in the Community (Windsor)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 17, 2015
    Time: 11:30 AM - 1:00 PM
    Location: East Side Centre, 8787 McHugh St., Windsor N8S 0A1
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC in the Community (Peterborough)

    November 13, 2015 @ 9:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Peterborough)

    Ontario Securities Commission and Competition Bureau staff will deliver seminars on fraud prevention and how to make informed purchasing decisions.

    Date: November 13, 2015
    Time: 9:00 AM - 12:00 PM
    Location: McDonnel St Activity Center, 577 McDonnel St., Peterborough K9H 2Y1
    Event Details:

    Ontario Securities Commission and Competition Bureau staff will deliver seminars on fraud prevention and how to make informed purchasing decisions.

    OSC in the Community investor seminar, entitled "Protect Your Money", covers the following topics:

    • Fraud prevention
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Competition Bureau presentation, entitled "Truth in Advertising", covers the following topics:

    • False or misleading representation
    • How much does it really cost; and
    • Making informed purchasing decisions.
  • OSC Vice-Chair Monica Kowal speaks at the Investor Recovery Conference

    October 26, 2015 @ 8:00 AM - 4:30 PM

    Speech

    OSC Vice-Chair Monica Kowal speaks at the Investor Recovery Conference

    OSC Vice-Chair Monica Kowal delivers the keynote speech, "Striving for Stronger Outcomes in Investor Protection", at the Investor Recovery Conference hosted by Osgoode Hall Law School and the Canadian Foundation for Advancement of Investor Rights (FAIR Canada).

    Date: October 26, 2015
    Time: 8:00 AM - 4:30 PM
    Location: Osgoode Hall Law School, York University, Toronto
    Event Details:

    OSC Vice-Chair Monica Kowal delivers the keynote speech, "Striving for Stronger Outcomes in Investor Protection", at the Investor Recovery Conference hosted by Osgoode Hall Law School and the Canadian Foundation for Advancement of Investor Rights (FAIR Canada).

    Click here to view →

  • Annual summary report for dealers, advisers and investment fund managers (Session B: In-Person)

    October 22, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Annual summary report for dealers, advisers and investment fund managers (Session B: In-Person)

    This seminar will highlight key policy initiatives and trends that are outlined in the Compliance and Registrant Regulation (CRR) Branch’s annual summary report that will be published in the fall of 2015. The discussion will also focus on deficiencies identified during our compliance reviews, with examples of acceptable and non-acceptable practices.

    Date: October 22, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will highlight key policy initiatives and trends that are outlined in the Compliance and Registrant Regulation (CRR) Branch’s annual summary report that will be published in the fall of 2015. The discussion will also focus on deficiencies identified during our compliance reviews, with examples of acceptable and non-acceptable practices.

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.

    Benefits:

    • Gain an awareness of the issues and projects that CRR focused on during the year, including key deficiencies identified during our compliance reviews and related best practices
    • Hear about emerging issues that may require consideration from a compliance standpoint

    Documents
  • October 20 and 22, 2015 Sessions: Annual Summary Report for Dealers, Advisers and Investment Fund Managers
  • Annual summary report for dealers, advisers and investment fund managers (Session A: Webinar)

    October 20, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Annual summary report for dealers, advisers and investment fund managers (Session A: Webinar)

    This seminar will highlight key policy initiatives and trends that are outlined in the Compliance and Registrant Regulation (CRR) Branch’s annual summary report that will be published in the fall of 2015. The discussion will also focus on deficiencies identified during our compliance reviews, with examples of acceptable and non-acceptable practices.

    Date: October 20, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will highlight key policy initiatives and trends that are outlined in the Compliance and Registrant Regulation (CRR) Branch’s annual summary report that will be published in the fall of 2015. The discussion will also focus on deficiencies identified during our compliance reviews, with examples of acceptable and non-acceptable practices.

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.

    Benefits:

    • Gain an awareness of the issues and projects that CRR focused on during the year, including key deficiencies identified during our compliance reviews and related best practices
    • Hear about emerging issues that may require consideration from a compliance standpoint

    Documents
  • October 20 and 22, 2015 Sessions: Annual Summary Report for Dealers, Advisers and Investment Fund Managers
  • OSC Dialogue 2015

    October 08, 2015 @ 8:00 AM - 3:00 PM

    Other

    OSC Dialogue 2015

    The OSC is pleased to present a day of panel discussions focused on capital market issues and trends in Canada and how they relate to the global economic and regulatory environment. Topics will span market conduct, financial stability, market liquidity and perspectives on investing in Canada and abroad.

    Date: October 08, 2015
    Time: 8:00 AM - 3:00 PM
    Location: Toronto (Four Seasons Hotel – 60 Yorkville Avenue, 3rd floor Aria Ballroom)
    Event Details:

    The OSC is pleased to present a day of panel discussions focused on capital market issues and trends in Canada and how they relate to the global economic and regulatory environment. Topics will span market conduct, financial stability, market liquidity and perspectives on investing in Canada and abroad.

    Agenda

    8:00 a.m. Registration
    9:00 a.m. Introduction
    Howard Wetston, Chair, OSC

    Audio (2.16 MB)
    Running Time: 00:09:29
    9:15 a.m. Panel 1 - Regulating Conduct: Individuals, Firms and the Market

    Moderator: Mary Condon, Commissioner, OSC

    • Greg Medcraft, Chairman, Australia Securities and Investments Commission
    • Howard Wetston, Chair, OSC
    • Martin Wheatley, Advisor to the Board, Financial Conduct Authority
    • Mary Jo White, Chair, U.S. Securities and Exchange Commission

    Audio (16.4 MB)
    Running Time: 01:11:42

    10:30 a.m. Break
    10:45 a.m. Panel 2 - Achieving Financial Stability in a Post-Crisis World

    Moderator: Grant Vingoe, Vice-Chair, OSC

    • Timothy Massad, Chairman, U.S. Commodity Futures Trading Commission
    • Steven Maijoor, Chair, European Securities and Markets Authority
    • Ryozo Himino, Vice Commissioner for International Affairs, Financial Services Agency (Japan)
    • Kevin Fine, Director, Derivatives, OSC

    Audio (13.6 MB )
    Running Time: 00:59:42

    11:45 a.m. Networking Lunch
    12:45 p.m. Panel 3 - Understanding Market Liquidity Risk and its Implications

    Moderator: Huston Loke, Director, Corporate Finance, OSC

    • John Hollyer, Global Head of Risk Management, Vanguard
    • Monica Kowal, Vice-Chair, OSC
    • Barbara Novick, Vice Chairman, BlackRock
    • David Wright, Secretary General, International Organization of Securities Commissions
    • Mark Zelmer, Deputy Superintendent, Office of the Superintendent of Financial Institutions

    Audio (13.0 MB)
    Running Time: 00:57:10

    1:45 p.m. Panel 4 - Perspectives on Investing in Canada and Abroad

    Moderator: Maureen Jensen, Executive Director & CAO, OSC

    • Bruce Flatt, CEO, Brookfield
    • David McKay, President & CEO, RBC
    • Mark Wiseman, President & CEO, CPP Investment Board

    Audio (13.0 MB)
    Running Time: 01:01:04

    3:00 p.m.

    Close

    Audio (492 KB)
    Running Time: 00:02:05



  • OSC in the Community (Stratford)

    October 06, 2015 @ 1:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Stratford)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: October 06, 2015
    Time: 1:00 PM - 3:00 PM
    Location: Kiwanis Community Centre, 111 Lakeside Drive, Stratford, ON N5A 7E2
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Women on boards roundtable

    September 29, 2015 @ 9:00 AM - 11:00 AM

    Other

    Women on boards roundtable

    Roundtable to discuss issues identified in a review of the disclosure of over 700 TSX-listed issuers with year-ends between December 31, 2014 and March 31, 2015 following the implementation of amendments to National Instrument 58-101 Disclosure of Corporate Governance Practices (the Rule Amendments). The Rule Amendments follow a “comply or explain” model and require all non-venture issues to make certain disclosures with respect to women on boards and in executive officer positions on an annual basis.

    Date: September 29, 2015
    Time: 9:00 AM - 11:00 AM
    Location: OSC, 22nd Floor, Training Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details:

    Roundtable to discuss issues identified in a review of the disclosure of over 700 TSX-listed issuers with year-ends between December 31, 2014 and March 31, 2015 following the implementation of amendments to National Instrument 58-101 Disclosure of Corporate Governance Practices (the Rule Amendments). The Rule Amendments follow a “comply or explain” model and require all non-venture issues to make certain disclosures with respect to women on boards and in executive officer positions on an annual basis.

    The event will include an overview of findings from staff’s review as well as panel discussions with commentary on the specific results and insights on how additional progress can be made. The panel discussions will reflect a diversity of views, so as to facilitate a balanced debate.

    The OSC expects to provide additional details, including the final agenda and list of panellists, no later than September 22, 2015.

    Any interested parties wishing to attend the roundtable are asked to send an email with full contact details to: womenonboards@osc.gov.on.ca. Space is limited. It is expected that a transcript will be posted to the OSC website following completion of the roundtable.

    Any media interested in attending the roundtable should contact media_inquiries@osc.gov.on.ca to register.

    Transcript

    Agenda

    Time

    Topic

    8.30 – 9.00 a.m.

    Registration

    9.00 – 9.10 a.m.

    Introduction and Opening Remarks

    Howard Wetston
    Chair, OSC

    9:10 – 9:25 a.m.

    Presentation of the Results

    Sandra Heldman
    Senior Accountant, Corporate Finance, OSC

    9:25 – 10:00 a.m.




    10:00 – 10:40 a.m.

    The Results
    Moderator:
    Maureen Jensen
    Executive Director, OSC

    A discussion on the key findings from the review and reactions to the results.




    The Pathway Forward
    Moderator:
    Monica Kowal
    Vice-Chair, OSC

    A discussion on how to achieve greater representation of women on boards and in executive officer positions.

    Panel Participants:

    Aaron Dhir
    Associate Professor, Osgoode Hall Law School

    John Dillon
    Vice President, Policy and Corporate Counsel, Canadian Council of Chief Executives

    Victor G. Dodig
    CEO, CIBC and Chair, 30% Club Canada.

    Pamela Jeffery
    Founder, Women’s Executive Network and Founder, Canadian Board Diversity Council

    Alex Johnston
    Executive Director, Catalyst Canada

    Fiona Macfarlane
    Managing Partner, Vancouver and Western Canada and Chief Inclusiveness Officer, Ernst & Young LLP

    Katherine Rabin
    CEO, Glass, Lewis & Co

    Kathleen Taylor
    Chair of the Board, Royal Bank of Canada

    10:40 – 10:55 a.m.

    Questions and Answers

    Moderator:
    Huston Loke
    Director, Corporate Finance, OSC

    10:55 – 11:00 a.m.

    Concluding Remarks

    Howard Wetston

  • Participation fees calculation (Session B: In-Person)

    September 17, 2015 @ 2:00 PM - 3:00 PM

    Registrant Outreach Seminars

    Participation fees calculation (Session B: In-Person)

    This mini-seminar will give registrants and unregistered capital markets participants a refresher on the calculation and filing of the participation fees, in advance of the December 1, 2015 filing deadline. Staff will discuss key issues and provide examples of common errors related to the calculation and filing of the participation fees. The seminar will also highlight the changes to OSC Rule 13-502 Fees that are applicable to registrants and unregistered capital markets participants, which came into effect on April 6, 2015.

    Date: September 17, 2015
    Time: 2:00 PM - 3:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This mini-seminar will give registrants and unregistered capital markets participants a refresher on the calculation and filing of the participation fees, in advance of the December 1, 2015 filing deadline. Staff will discuss key issues and provide examples of common errors related to the calculation and filing of the participation fees. The seminar will also highlight the changes to OSC Rule 13-502 Fees that are applicable to registrants and unregistered capital markets participants, which came into effect on April 6, 2015.

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.

    Benefits:

    • Understand the calculation of participation fees
    • Awareness of the amendments to OSC Rule 13-502 that have come into effect since the prior year’s calculation

    Presentation Materials:


  • Participation fees calculation (Session A: Webinar)

    September 15, 2015 @ 2:00 PM - 3:00 PM

    Registrant Outreach Seminars

    Participation fees calculation (Session A: Webinar)

    This mini-seminar will give registrants and unregistered capital markets participants a refresher on the calculation and filing of the participation fees, in advance of the December 1, 2015 filing deadline. Staff will discuss key issues and provide examples of common errors related to the calculation and filing of the participation fees. The seminar will also highlight the changes to OSC Rule 13-502 Fees that are applicable to registrants and unregistered capital markets participants, which came into effect on April 6, 2015.

    Date: September 15, 2015
    Time: 2:00 PM - 3:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This mini-seminar will give registrants and unregistered capital markets participants a refresher on the calculation and filing of the participation fees, in advance of the December 1, 2015 filing deadline. Staff will discuss key issues and provide examples of common errors related to the calculation and filing of the participation fees. The seminar will also highlight the changes to OSC Rule 13-502 Fees that are applicable to registrants and unregistered capital markets participants, which came into effect on April 6, 2015.

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F4 Capital Markets Participation Fee Calculation.

    Benefits:

    • Understand the calculation of participation fees
    • Awareness of the amendments to OSC Rule 13-502 that have come into effect since the prior year’s calculation

    Presentation Materials:


  • OSC in the Community (CARP Mississauga)

    September 14, 2015 @ 7:00 PM - 9:00 PM

    OSC in the Community

    OSC in the Community (CARP Mississauga)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: September 14, 2015
    Time: 7:00 PM - 9:00 PM
    Location: AMICA at Erin Mills, 4620 Kimbermount Ave., Mississauga L5M 5W5
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Venture issuer regulation - adoption of amendments to NI 51-102, NI 41-101, and NI 52-110

    July 09, 2015 @ 10:30 AM - 11:30 AM

    SME Institute Seminars

    Venture issuer regulation - adoption of Amendments to NI 51-102, NI 41-101, and NI 52-110

    This seminar will introduce the recent amendments to the regulatory requirements for venture issuers.

    Date: July 09, 2015
    Time: 10:30 AM - 11:30 AM
    Location: OSC, 22nd Flr Meeting Room, Toronto, Ontario, M5H 3S8
    Event Details:

    This seminar will introduce the recent amendments to the regulatory requirements for venture issuers. Topics discussed will include:

    • The motivation for the amendments
    • What is changing:
      • MD&A
      • Business acquisition reporting
      • Prospectus disclosure
      • Executive compensation disclosure
      • Audit committee requirements
    • Expectations under the new requirements

    The goal of the seminar is to help issuers, advisors, and investors better understand the new rules for venture issuers.

    Who should attend:

    • Venture issuers
    • Advisors
    • Investors

    Why you should attend:

    • To learn more about the new rules for venture issuers
    • To understand expectations under the new rules

    Presentation documents


  • Elements of an effective compliance system (Session B: In-Person)

    June 25, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Elements of an effective compliance system

    The seminar will focus on key aspects of the policies and procedures manual and ensuring they have been implemented effectively. Also, the seminar will discuss the role and responsibilities of the ultimate designated person and chief compliance officer, including the annual report to the Board, and also touch on emerging issues that compliance staff should consider when designing or enhancing their compliance systems.

    Date: June 25, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details:

    The seminar will focus on key aspects of the policies and procedures manual and ensuring they have been implemented effectively. Also, the seminar will discuss the role and responsibilities of the ultimate designated person and chief compliance officer, including the annual report to the Board, and also touch on emerging issues that compliance staff should consider when designing or enhancing their compliance systems.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.

    Benefits:

    • Gain insight into expectations on the policies and procedures manual and the role of the compliance officer, including the requirement of the compliance officer to report to the Board
    • Hear about emerging issues that may require consideration from a compliance standpoint, and the associated regulatory expectations

    Presentation Material


    Register
  • Elements of an effective compliance system (Session A: Webinar)

    June 23, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Elements of an effective compliance system

    The seminar will focus on key aspects of the policies and procedures manual and ensuring they have been implemented effectively. Also, the seminar will discuss the role and responsibilities of the ultimate designated person and chief compliance officer, including the annual report to the Board, and also touch on emerging issues that compliance staff should consider when designing or enhancing their compliance systems.

    Date: June 23, 2015
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    The seminar will focus on key aspects of the policies and procedures manual and ensuring they have been implemented effectively. Also, the seminar will discuss the role and responsibilities of the ultimate designated person and chief compliance officer, including the annual report to the Board, and also touch on emerging issues that compliance staff should consider when designing or enhancing their compliance systems.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.

    Benefits:

    • Gain insight into expectations on the policies and procedures manual and the role of the compliance officer, including the requirement of the compliance officer to report to the Board
    • Hear about emerging issues that may require consideration from a compliance standpoint, and the associated regulatory expectations

    Presentation Material


    Register
  • OSC in the Community (Woodbridge)

    June 18, 2015 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Woodbridge)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: June 18, 2015
    Time: 2:00 PM - 3:30 PM
    Location: Woodbridge Public Library,150 Woodbridge Avenue,Vaughan, Ontario L4L 2S7
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC in the Community (Hamilton)

    June 17, 2015

    OSC in the Community

    OSC in the Community (Hamilton)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: June 17, 2015
    Time: -
    Location: Hamilton, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC Vice-Chair Monica Kowal speaks on panel at C.D. Howe Institute

    June 17, 2015 @ 9:00 AM - 3:00 PM

    Speech

    OSC Vice-Chair Monica Koowel speaks on panel at C.D. Howe Institute

    Monica Kowal speaks on the role of Securities Regulators in Systemic Risk Regulation and the important work underway at the OSC on OTC Derivatives Regulation and the new proposed federal Capital Markets Stability Act.

    Date: June 17, 2015
    Time: 9:00 AM - 3:00 PM
    Location: C.D. Howe Institute, 67 Yonge Street, Suite 300
    Event Details:

    Conference speakers include:

    • Keynote Speaker: Jeremy Rudin, Superintendent, Office of the Superintendent of Financial Institutions
    • Chris Catliff, President & Chief Executive Officer, BlueShore Financial
    • David Dodge, Former Governor, Bank of Canada, and Chair of the C.D. Howe Institute’s National Council
    • Denis Dubois, EVP and Chief Integration Officer, Desjardins General Insurance Group
    • Michael Fortin, Senior Vice President, Group Benefits and Retirement Solutions, Institutional Markets, Manulife
    • Sheryl Kennedy, Chief Executive Officer, Promontory Canada
    • Michael King, Assistant Professor, Finance Education, Ivey Business School
    • Monica Kowal, Vice-Chair, Ontario Securities Commission
    • Jim MacGee, Associate Professor, Department of Economics, University of Western Ontario
    • Neil Parkinson, Partner, Audit National Leader, Insurance Sector, KPMG
    • Wendy Rudd, Senior Vice President, Market Regulation and Policy, Investment Industry Regulatory Organization of Canada
    • James Salem, Group Treasurer and Executive Vice President, Royal Bank of Canada
    • Rapporteur: Craig Alexander, Senior Vice President and Chief Economist, TD Bank Group, and incoming Vice President, Economic Analysis, C.D. Howe Institute

    [Source: C.D. Howe Institute]
  • OSC Chair Howard Wetston speaks on panel at the IOSCO Conference

    June 17, 2015

    Other

    OSC Chair Howard Wetston participates on an Understanding behaviour of firms and companies panel at the IOSCO Conference

    The public conference will be a dynamic combination of keynote speeches, Q&A’s and four panel sessions. The public conference is attended by members of IOSCO and non-members from the financial world and specialised industry sectors. There will be an opening ceremony, keynote speeches and a series of public-discussion panels on topical issues with national and international senior specialists from relevant industry sectors, regulators and the academia.

    Date: June 17, 2015
    Time: 12:00 AM - 12:00 AM
    Location: The QEII Conference Centre, Broad Sanctuary, Westminster, London SW1P 3EE
    Event Details:

    The public conference will be a dynamic combination of keynote speeches, Q&A’s and four panel sessions. The public conference is attended by members of IOSCO and non-members from the financial world and specialised industry sectors. There will be an opening ceremony, keynote speeches and a series of public-discussion panels on topical issues with national and international senior specialists from relevant industry sectors, regulators and the academia.

    3:40PM - 5:10PM

    Panel 1: Understanding behaviour of firms and consumers

    • Behavioural economics increasingly informs our understanding of human decision-making, including that of consumers and firms.
    • How are behavioural insights applied to improve regulatory policy? What other behavioural techniques can regulators use to support confident and informed decision-making by retail investors? How can these techniques be tested? And what are the limits of behavioural interventions when it comes to the regulation of firms and individuals?
    • Reflecting on real case studies, this panel session will explore what regulators have done, can do, and are doing, to help consumers make better decisions and address behavioural issues in the industry.
      Moderator: Linda Yueh, Fellow in Economics, St Edmund Hall, Oxford University
     

    Panellists:

    • Greg Davies, Managing Director and Head of Behavioural-Quant Finance, Barclays
    • Theodor Kockelkoren, Netherlands Authority for Financial Markets (AFM) Executive Board and Chair of the Organisation for Economic Cooperation and Development Task Force on Financial Consumer Protection
    • David Tuckett, Director of the Centre for the Study of Decision- Making Uncertainty, University College London
    • Howard Wetston QC, Chair and Chief Executive Officer, Ontario Securities Commission
    • Christopher Woolard, Director of Strategy and Competition, Financial Conduct Authority (FCA), UK

    View full agenda[Source: IOSCO]

    Register
  • OSC Chair Howard Wetston speaks at the Canadian Coalition for Good Governance

    June 10, 2015 @ 12:00 PM - 1:15 PM

    Speech

    OSC Chair Howard Wetston speaks at the Canadian Coalition for Good Governance

    Howard Wetston speaks at the Annual Public Meeting of the Canadian Coalition for Good Governance.

    Date: June 10, 2015
    Time: 12:00 PM - 1:15 PM
    Location: McMillan LLP, 181 Bay Street, 44th Floor, Brookfield Place, Toronto
    Event Details:

    Howard Wetston speaks at the Annual Public Meeting of the Canadian Coalition for Good Governance.

    Remarks to the Canadian Coalition of Good Governance - “The Role of Shareholders in Addressing the Governance Challenges of Today’s Capital Markets”

    Click here to view 

  • OSC whistleblower roundtable

    June 09, 2015 @ 8:30 AM - 12:00 PM

    Other

    OSC whistleblower roundtable

    A roundtable to further explore the issues raised in OSC Staff Consultation Paper 15-401, which proposed a new whistleblower program to encourage the reporting of serious misconduct of Ontario securities law to the OSC. The program would be the first of its kind for securities regulators in Canada.

    Date: June 09, 2015
    Time: 8:30 AM - 12:00 PM
    Location: OSC, 22nd Floor, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The OSC announced in April that it will hold a roundtable to further explore the issues raised in OSC Staff Consultation Paper 15-401, which proposed a new whistleblower program to encourage the reporting of serious misconduct of Ontario securities law to the OSC. The program would be the first of its kind for securities regulators in Canada.

    The event featured panel discussions reflecting the viewpoints of investors, market participants, members of the securities litigation bar and other stakeholders. Specific themes included: effectiveness of whistleblower programs, whistleblower protections and the impact of a whistleblower program on internal compliance systems


    Transcript

    Agenda

    8.30 – 9.00 a.m. Arrival/Check-in
    9.00 – 9.15 a.m. Introduction and Opening Remarks

    Moderator: Mary Condon (OSC Commissioner)
    9.15 – 10.00 a.m. Topic 1: Effectiveness of Whistleblower Programs

    Moderator: Mary Condon (OSC Commissioner)

    Panel:
    Marian Passmore (Canadian Foundation for Advancement of Investor Rights)
    John Pecman (Competition Bureau)
    Dimitri Lascaris (Siskinds LLP)
    Jane Norberg (U.S. Securities & Exchange Commission)
    10.00 – 10.45 a.m. Topic 2: Whistleblower Protections - Anti-Retaliation Measures and Whistleblower Confidentiality
    Moderator: Alan Lenczner (OSC Commissioner)

    Panel:
    Connie Craddock (OSC Investor Advisory Panel)
    Daniel Pugen (McCarthy Tétrault)
    David Hausman (Fasken Martineau)
    Jordan Thomas (Labaton Sucharow LLP)
    10.45 – 11.00 a.m. Break
    11.00 – 11.45 a.m. Topic 3: Impact of an OSC Whistleblower Program on Internal Compliance Systems

    Moderator: Tim Moseley (OSC Commissioner)

    Panel:
    Megan Telford (TD Bank Group)
    Sheila A. Murray (CI Financial Corp.)
    Linda Fuerst (Lenczner Slaght)
    Christine Wiedman (University of Waterloo)

    11.45 – 12.00 p.m. Closing
  • OSC Chair Howard Wetston speaks at the C.D. Howe Institute's Annual Directors' Dinner

    May 27, 2015 @ 6:00 PM - 10:00 PM

    Speech

    OSC Chair Howard Wetston to speak at the C.D. Howe Institute's Annual Directors' Dinner

    Howard Wetston will talk to the group about the challenges he has faced as the regulator of Canada's largest capital markets as well as discuss the road ahead.

    Date: May 27, 2015
    Time: 6:00 PM - 10:00 PM
    Location: The King Edward Hotel, 47 King Street East, Toronto, Ontario
    Event Details:

    [Source: C.D. Howe Institute] The Institute's annual Directors' Dinner is a premier event for discussion of major policy issues among Canadian business and thought leaders. This year's event also recognizes an outstanding policymaker: Howard Wetston, who has been at the helm of the OSC since 2010. Howard will talk to the group about the challenges he has faced as the regulator of Canada's largest capital markets as well as discuss the road ahead. Register early to ensure you do not miss out.


    [Source: C.D. Howe Institute]

  • OSC Chair Howard Wetston speaks at IIAC/SIFMA - Canada-US Securities Summit, New York

    May 13, 2015 @ 8:00 AM - 1:15 PM

    Speech

    OSC Chair Howard Wetston to speak at IIAC/SIFMA - Canada-US Securities Summit, New York

    OSC Chair Howard Wetston speaks at IIAC/SIFMA - Canada-US Securities Summit, New York

    Date: May 13, 2015
    Time: 8:00 AM - 1:15 PM
    Location: SIFMA Conference Center, 120 Broadway, 2nd Floor, New York, NY 10271
    Event Details:

    [Source: SIFMA] The U.S.-Canadian economic relationship is vast. Canada is the top export destination for 35 U.S. states - nearly 9 million U.S. jobs depend on trade and investment with Canada - and 400,000 people cross the Canada-U.S. border daily. This summit will discuss the engine that fuels this activity, the U.S. and Canadian financial markets.

    Program topics include:

    • Canada's Cooperative Capital Markets Regulatory System
    • Cross Border Implications of the Volcker Rule
    • Investment Trends in the Energy Sector
    • Other regulatory developments in the U.S. and Canada that impact cross-border investment.

    [Source: SIFMA]

    Learn more →
  • Implementation of Client Relationship Model 2 (Session B: In-Person)

    April 23, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Implementation of Client Relationship Model 2

    As a follow up to the November 2013 session on CRM2, this seminar will discuss the upcoming July 2015 and 2016 implementation dates for the CRM2 requirements on performance reporting and cost disclosure requirements, recap key provisions already in force and discuss the regulatory expectations.

    Date: April 23, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    As a follow up to the November 2013 session on CRM2, this seminar will discuss the upcoming July 2015 and 2016 implementation dates for the CRM2 requirements on performance reporting and cost disclosure requirements, recap key provisions already in force and discuss the regulatory expectations.

    Who should attend:

    Registered representatives, chief compliance officers and ultimate designated persons of registrant firms.

    Benefits:

    • Gain an awareness of the upcoming roll out period and what we expect will be happening during this time
    • Discuss how you and your firm may implement next stages of CRM2

    Presentation materials:

  • Implementation of Client Relationship Model 2 (Session A: Webinar)

    April 21, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Implementation of Client Relationship Model 2

    As a follow up to the November 2013 session on CRM2, this seminar will discuss the upcoming July 2015 and 2016 implementation dates for the CRM2 requirements on performance reporting and cost disclosure requirements, recap key provisions already in force and discuss the regulatory expectations.

    Date: April 21, 2015
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    As a follow up to the November 2013 session on CRM2, this seminar will discuss the upcoming July 2015 and 2016 implementation dates for the CRM2 requirements on performance reporting and cost disclosure requirements, recap key provisions already in force and discuss the regulatory expectations.

    Who should attend:

    Registered representatives, chief compliance officers and ultimate designated persons of registrant firms.

    Benefits:

    • Gain an awareness of the upcoming roll out period and what we expect will be happening during this time
    • Discuss how you and your firm may implement next stages of CRM2

    Presentation materials:

  • OSC Chair Howard Wetston speaks at Rotman School of Management

    March 31, 2015 @ 5:00 PM - 6:00 AM

    Other

    OSC Chair Howard Wetston to speak at Rotman School of Management

    Howard Wetston, Chair and CEO, Ontario Securities Commission in conversation with Howard Green, Author and Broadcaster

    Date: March 31, 2015
    Time: 5:00 PM - 6:00 AM
    Location: University of Toronto, Desautels Hall, Rotman School of Management, 105 St George Street, Toronto, Ontario
    Event Details:

    Topic: The Post-Crisis Role of a Market Regulator

  • OSC in the Community (Burlington)

    March 02, 2015

    OSC in the Community

    OSC in the Community (Burlington)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: March 02, 2015
    Time: -
    Location: Burlington, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

  • OSC in the Community (Kitchener-Waterloo)

    February 23, 2015

    OSC in the Community

    OSC in the Community (Kitchener-Waterloo)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: February 23, 2015
    Time: -
    Location: Kitchener-Waterloo, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Calculating participation fees

    February 11, 2015 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Calculating Participation Fees

    Staff will discuss key issues relating to the calculation and filing of the participation fees. There will also be a discussion on the proposed changes to OSC Rule 13-502 Fees. This seminar is designed to assist issuers with the calculation of participation fees under OSC Rule 13-502 Fees.

    Date: February 11, 2015
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Meeting Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details:

    Staff will discuss key issues relating to the calculation and filing of the participation fees. There will also be a discussion on the proposed changes to OSC Rule 13-502 Fees. This seminar is designed to assist issuers with the calculation of participation fees under OSC Rule 13-502 Fees.

    Who should attend:

    Individuals responsible for the preparation, review and filing of OSC Form 13-502F1, OSC Form 13-502F2, OSC Form 13-502F2A, OSC Form 13-502F3A, OSC Form 13-502F3B, and OSC Form 13-502F3C

    Why you should attend:

    • To learn more about OSC Rule 13-502
    • To understand what OSC staff look for when reviewing the fee forms

    Presentation documents: Slides: Calculating Participation Fees

  • Ongoing amendments to National Instrument 31-103 (Session B: In-Person)

    February 05, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Ongoing amendments to National Instrument 31-103

    This seminar will provide an overview of the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) which were published October 16, 2014 and come into force on January 11, 2015.

    Date: February 05, 2015
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details:

    This seminar will provide an overview of the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) which were published October 16, 2014 and come into force on January 11, 2015. The amendments include substantive changes and also technical adjustments to codify certain exemption orders, clarify the legislative intent of NI 31-103 and provide further guidance as necessary where ambiguities existed.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.

    Benefits:

    • Understand the amendments to NI 31-103
    • Enhance compliance with requirements under NI 31-103 and where impacted, NI 33-109 Registration Information

    Presentation materials:

    February 4 and 5, 2015 Sessions: Amendments to National Instrument 31-103

  • Ongoing amendments to National Instrument 31-103 (Session A: Webinar)

    February 04, 2015 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Ongoing amendments to National Instrument 31-103

    This seminar will provide an overview of the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) which were published October 16, 2014 and come into force on January 11, 2015.

    Date: February 04, 2015
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    This seminar will provide an overview of the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) which were published October 16, 2014 and come into force on January 11, 2015. The amendments include substantive changes and also technical adjustments to codify certain exemption orders, clarify the legislative intent of NI 31-103 and provide further guidance as necessary where ambiguities existed.

    Who should attend:

    Chief compliance officers and ultimate designated persons of registrants. Individuals involved in the day-to-day compliance functions at registrant firms who communicate registration requirements to registered individuals.

    Benefits:

    • Understand the amendments to NI 31-103
    • Enhance compliance with requirements under NI 31-103 and where impacted, NI 33-109 Registration Information

    Presentation materials:

    February 4 and 5, 2015 Sessions: Amendments to National Instrument 31-103

  • Raising money in the capital markets

    January 21, 2015 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Raising money in the capital markets

    The seminar will discuss securities regulatory issues for small and medium sized companies looking to raise capital in the public and private markets. We will examine key requirements for both public offerings and private placements

    Date: January 21, 2015
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Meeting Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details:

    Who should attend:

    • CEOs & CFOs
    • Directors
    • Legal counsel and other advisors

    Why you should attend:

    To learn the options available for raising money in Ontario's capital markets To obtain guidance on the specific process and requirements for raising capital and to understand the roles of the parties involved in the process To understand the differences between public versus private financing options Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

    Presentation documents: Slides: Raising Money in the Capital Markets

  • Continuous disclosure obligations

    December 10, 2014 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Continuous Disclosure Obligations

    This seminar will include the review of obligations under NI 51-102, including MD&A observations, material change reporting, related party transactions, information on emerging market issues and other relevant topics.

    Date: December 10, 2014
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will include the review of obligations under NI 51-102, including MD&A observations, material change reporting, related party transactions, information on emerging market issues and other relevant topics.

    Who should attend:

    • CFOs
    • Advisors to companies
    • Preparers of financial statements
    • In-house or external legal counsel

    Why You Should Attend:

    • To understand the important ongoing securities requirements
    • To be aware of common filing deficiencies so you can avoid them
    • To hear directly from OSC staff best practices for working with the OSC on ongoing filing issues
    • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

    Presentation slides:Slides: Continuous Disclosure Obligations

     

  • OSC in the Community (Whitby)

    November 25, 2014

    OSC in the Community

    OSC in the Community (Whitby)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 25, 2014
    Time: -
    Location: Whitby, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

  • OSC in the Community (Windsor)

    November 24, 2014

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 24, 2014
    Time: -
    Location: Windsor, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

  • Mineral disclosure best practices

    November 12, 2014 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Mineral Disclosure Best Practices

    This seminar is designed to assist mining participants with improving their public technical disclosure and to provide an opportunity to hear directly from the regulator about common disclosure pitfalls and challenges through the use of case studies and examples of good disclosure practices and guidance.

    Date: November 12, 2014
    Time: 1:30 PM - 3:30 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar is designed to assist mining participants with improving their public technical disclosure and to provide an opportunity to hear directly from the regulator about common disclosure pitfalls and challenges through the use of case studies and examples of good disclosure practices and guidance. Findings from recent OSC Staff Notices (OSC Staff Notice 43-705 on technical reports and OSC Staff Notice 51-722 on MD&A) will be discussed as well as an overview of website disclosure, use of social media, and tips on prospectus filings. Topics covered will include:

    • Overview of NI 43-101
    • Common disclosure pitfalls and practical guidance
    • Technical reports and how to improve disclosure
    • MD&A best practice tips
    • Website technical disclosure hazards
    • Prospectus filings and technical reporting

    The goal of the seminar is to help mining issuers avoid the common pitfalls and hazards and improve their public technical disclosure.


    Presentation slides:Slides: Mineral Disclosure Best Practices

     

  • Participation fees calculation (Session B: In-Person)

    November 06, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Participation fees calculation

    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.

    Date: November 06, 2014
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    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

    Presentation materials:

    Slides: Participation Fees Calculation

  • Participation fees calculation (Session A: Webinar)

    November 04, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Participation fees calculation

    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.

    Date: November 04, 2014
    Time: 2:00 PM - 4:00 PM
    Location: Online Webinar
    Event Details:

    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

    Presentation materials:

    Slides: Participation Fees Calculation

  • OSC in the Community (Toronto)

    October 29, 2014

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: October 29, 2014
    Time: -
    Location: Toronto, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC Dialogue 2014

    October 16, 2014 @ 8:30 AM - 3:00 PM

    Other

    OSC Dialogue 2014

    Each year OSC Dialogue brings hundreds of market participants together on issues and trends facing the capital markets. Discussing where we are and where the markets are going is critical to ensuring a strong and healthy regulatory system.

    Date: October 16, 2014
    Time: 8:30 AM - 3:00 PM
    Location: Toronto, Ontario
    Event Details:

    Each year OSC Dialogue brings hundreds of market participants together on issues and trends facing the capital markets. Discussing where we are and where the markets are going is critical to ensuring a strong and healthy regulatory system.

    Agenda

    8:30 a.m. Registration
    9:00 a.m. Welcome Christopher Portner

    Audio (5.47 MB)
    Running Time: 00:05:58
    9:15 a.m. Plenary Session One
    Corporate Governance and the Value of Shareholder Activism

    Moderator: Howard Wetston, OSC

    Panel:
    Bill Ackman, Pershing Square Capital Management
    Sharon Geraghty, Torys LLP
    Roberta Karmel, Brooklyn Law School

    Audio (17.1 MB)
    Running Time: 01:14:48

    10:30 a.m. Break
    10:45 a.m. Plenary Session Two
    Investors and Innovation in Products and Distribution

    Moderator: Som Seif, Purpose Investments

    Panel:
    Howard Atkinson, Horizons ETF
    Rhonda Goldberg, OSC
    Peter Intraligi, Invesco
    James Norris, Vanguard

    Audio (16.6 MB)
    Running Time: 01:12:44
    12:00 p.m. Networking Lunch

    1:00 p.m. Lunch Keynote
    Conversation with the SEC

    Mary Jo White, SEC
    Howard Wetston, OSC

    Audio (11.9 MB)
    Running Time: 00:52:11

    1:45 p.m. Plenary Session Three
    Regulating for Investors in a Technological Age

    Moderator: Maureen Jensen, OSC

    Panel:
    Kevan Cowan, TMX Group
    Richard Ketchum, FINRA
    Dave Lauer, KOR Group
    Tom C.W. Lin, Temple University
    Doug Steiner, BEworks

    Audio (16.0 MB)
    Running Time: 01:10:12

    3:00 p.m. Conclusion
  • Complaint handling and the Ombudsman for Banking Services and Investments process (Session B: In-Person)

    October 09, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Complaint handling and the Ombudsman for Banking Services and Investments process

    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.

    Date: October 09, 2014
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    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

    Presentation materials:

    Slides: Complaint handling and the Ombudsman for Banking Services and Investments process

  • Complaint handling and the Ombudsman for Banking Services and Investments process (Session A: Webinar)

    October 07, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Complaint handling and the Ombudsman for Banking Services and Investments process

    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.

    Date: October 07, 2014
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    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

    Presentation materials:

    Slides: Complaint handling and the Ombudsman for Banking Services and Investments process

  • OSC in the Community (Kitchener-Waterloo)

    September 22, 2014

    OSC in the Community

    OSC in the Community (Kitchener-Waterloo)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: September 22, 2014
    Time: -
    Location: Kitchener-Waterloo, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC in the Community (Ottawa)

    September 15, 2014

    OSC in the Community

    OSC in the Community (Ottawa)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: September 15, 2014
    Time: -
    Location: Ottawa, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • Registrant series – investment fund managers (Session B: In-Person)

    June 26, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Registrant series – Investment fund managers

    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.

    Date: June 26, 2014
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    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

    Presentation materials:

    Slides: Outreach Session for Investment Fund Managers

  • Registrant series – investment fund managers (Session A: Webinar)

    June 24, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Registrant series – Investment fund managers

    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.

    Date: June 24, 2014
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    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

    Presentation materials:

    Slides: Outreach Session for Investment Fund Managers

  • OSC in the Community (Sault Ste. Marie, Ontario)

    June 23, 2014

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: June 23, 2014
    Time: 6:30 PM - 8:00 PM
    Location: Sault Ste. Marie, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

  • OSC Chair Howard Wetston speaks at the Private Capital Markets Association Annual Conference

    June 02, 2014

    Speech

    Speech to the Private Capital Markets Association Annual Conference: The Honourable Howard Wetston, Q.C., Chair, Ontario Securities Commission

    The Honourable Howard Wetston, Q.C., Chair, Ontario Securities Commission speaks at the Private Capital Markets Association Annual Conference (PCMA) about Capital Formation in Ontario.

    Date: June 02, 2014
    Time: 12:00 AM - 12:00 AM
    Location: The Toronto Region Board of Trade, 77 Adelaide St W., Toronto, Ontario
    Event Details:

    Topic: Capital Formation in Ontario

    Click here to view →

  • Registrant series - portfolio managers (Session B: In-Person)

    May 22, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: Webinar - Registrant series - Portfolio managers

    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.

    Date: May 22, 2014
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    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

    Presentation materials:

    Slides: Portfolio Managers

  • Registrant series - portfolio managers (Session A: Webinar)

    May 20, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Registrant series - Portfolio managers

    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.

    Date: May 20, 2014
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    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

    Presentation materials:

    Slides: Portfolio Managers

  • Registrant series - exempt market dealers (Session B: In-Person)

    April 24, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Registrant series - Exempt market dealers

    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.

    Date: April 24, 2014
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    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

    Presentation materials:

    Slides: Exempt market dealers

  • Registrant series – exempt market dealers (Session A: Webinar)

    April 22, 2014 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Registrant series – Exempt market dealers

    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.

    Date: April 22, 2014
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    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

    Presentation materials:

    Slides: Exempt market dealers

  • OSC Chair Howard Wetston speaks at the Toronto Region Board of Trade

    March 27, 2014

    Speech

    Speech to Toronto Regional Board of Trade: The Honourable Howard Wetston, Q.C., Chair, Ontario Securities Commission

    The Honourable Howard Wetston, Q.C., Chair, Ontario Securities Commission speaks at the Toronto Region Board of Trade on OSC Priorities for Today’s Capital Markets

    Date: March 27, 2014
    Time: 12:00 AM - 12:00 AM
    Location: The Toronto Region Board of Trade, 77 Adelaide St W., Toronto, Ontario
    Event Details:

    OSC Priorities for Today’s Capital Markets

    Click here to view →

  • Overview of the registration process (Session B: Webinar)

    March 06, 2014 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Session B: Webinar - Overview of the registration process

    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.

    Date: March 06, 2014
    Time: 10:00 AM - 12:00 PM
    Location: Online webinar
    Event Details:

    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

    Presentation materials:

    Slides: Overview of the Registration Process

  • Overview of the registration process (Session A: Webinar)

    March 03, 2014 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - Overview of the registration process

    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.

    Date: March 03, 2014
    Time: 10:00 AM - 12:00 PM
    Location: Online webinar
    Event Details:

    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

    Presentation materials:

    Slides: Overview of the Registration Process

  • OSC in the Community (London)

    March 03, 2014 @ 2:30 PM - 4:00 PM

    OSC in the Community

    OSC in the Community (London)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: March 03, 2014
    Time: 2:30 PM - 4:00 PM
    Location: 78 Riverside Drive, London, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Protect Your Money

     

  • OSC in the Community (Richmond Hill)

    February 26, 2014

    OSC in the Community

    OSC in the Community (Richmond Hill)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: February 26, 2014
    Time: -
    Location: Richmond Hill, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

  • OSC in the Community (Toronto)

    February 26, 2014

    OSC in the Community

    OSC in the Community (Toronto)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: February 26, 2014
    Time: -
    Location: 789 Yonge St, Toronto, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Protect Your Money

     

  • Raising money in the capital markets

    February 12, 2014

    SME Institute Seminars

    Raising Money in the Capital Markets

    This seminar discussed securities regulatory issues for small and medium sized companies looking to raise capital in the public and private markets. We will examine key requirements for both public offerings and private placements.

    Date: February 12, 2014
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar discussed securities regulatory issues for small and medium sized companies looking to raise capital in the public and private markets. We will examine key requirements for both public offerings and private placements.

    Presentation Documents:

  • OSC in the Community (St. Catharines)

    February 04, 2014

    OSC in the Community

    OSC in the Community (St. Catharines)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: February 04, 2014
    Time: -
    Location: 80 Dunlop Drive, St. Catharines, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

  • Proxy voting infrastructure roundtable

    January 29, 2014

    Other

    Proxy Voting Infrastructure Roundtable

    CSA roundtable discussion Re: consultation paper and request for comment 54-401: review of the proxy voting infrastructure

    Date: January 29, 2014
    Time: 12:00 AM - 12:00 AM
    Location: Ontario Securities Commission, 22nd floor, 20 Queen Street West Toronto, Ontario
    Event Details:

    Transcript of the Proxy Voting Infrastructure Roundtable

  • Continuous disclosure best practices

    January 21, 2014

    SME Institute Seminars

    Continuous Disclosure Best Practices

    This seminar provided a review of obligations under NI 51-102, including MD&A best practices, forward looking information and related party transactions plus other other current topics, including non-GAAP measures, operating segments, cash flow statements

    Date: January 21, 2014
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar provided a review of obligations under NI 51-102, including MD&A best practices, forward looking information and related party transactions plus other other current topics, including non-GAAP measures, operating segments, cash flow statements

    Presentation Documents:

  • OTC derivatives trade reporting in Ontario: what are your obligations?

    January 15, 2014 @ 9:00 AM - 11:00 AM

    Other

    OTC derivatives trade reporting in Ontario: what are your obligations?

    This seminar provides an opportunity for market participants to learn more about these new requirements and for the OSC to engage directly with market participants on this important rule and implementation process

    Date: January 15, 2014
    Time: 9:00 AM - 11:00 AM
    Location: OSC, 22nd floor, 20 Queen Street West, Toronto, Ontario
    Event Details:

    On November 14, 2013, the OSC published OSC Rule 91-506 Derivatives: Product Determination and OSC Rule 91-507Trade Repositories and Derivatives Data Reporting, which is the first set of harmonized derivatives rules for Ontario and one of the most important elements of global OTC derivatives reform. The reporting obligations for the OSC rule begin July 2, 2014 and the OSC wants to help market participants navigate these requirements and ensure preparedness.

    The seminar will cover four key areas: how to report transactions, end user obligations, tips for ensuring dealer compliance and reporting fields.

    The seminar provides an opportunity for market participants to learn more about these new requirements and for the OSC to engage directly with market participants on this important rule and implementation process.

    Attendees will have the opportunity to ask questions of the rule drafters and hear from other participants about their experience and best practices in responding to the changes.

    Presentation Materials: Derivatives seminar

  • KYC and suitability obligations (Session A: Webinar)

    December 11, 2013 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: Webinar - KYC and suitability obligations

    This seminar will provide an overview of the know your client (KYC) and suitability requirements for registrants under National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.

    Date: December 11, 2013
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    This seminar will provide an overview of the know your client (KYC) and suitability requirements for registrants under National Instrument 31-103Registration Requirements, Exemptions and Ongoing Registrant Obligations. We will also discuss the results of our recent targeted review of registrants to assess their compliance with the KYC, know your product (KYP) and suitability obligations and provide guidance to registrants on best practices in these areas.

    Who should attend:

    Individuals responsible for the collection of KYC information and performing suitability reviews on clients’ investments.

    Benefits:

    • Understanding of the common deficiencies related to KYC, KYP and suitability obligations
    • Hear from OSC staff on best practices in these areas

    Presentation slides:

    Slides: Know-your-client and Suitability Obligations
  • Mineral disclosure best practices

    December 09, 2013

    SME Institute Seminars

    Mineral Disclosure Best Practices

    This seminar provided participants with an opportunity to hear directly from the regulator about key issues related to technical disclosure for mineral projects. Topics covered will include an overview of NI 43-101, fundamental compliance issues, technical reports, and good and bad disclosure practices. The session is intended to assist issuers with improving their technical disclosure.

    Date: December 09, 2013
    Time: 12:00 AM - 12:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar provided participants with an opportunity to hear directly from the regulator about key issues related to technical disclosure for mineral projects. Topics covered will include an overview of NI 43-101, fundamental compliance issues, technical reports, and good and bad disclosure practices. The session is intended to assist issuers with improving their technical disclosure.

    Presentation slides:

  • KYC and suitability obligations (Session B: In-Person)

    December 04, 2013 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - KYC and suitability obligations

    This seminar will provide an overview of the know your client (KYC) and suitability requirements for registrants under National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.

    Date: December 04, 2013
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide an overview of the know your client (KYC) and suitability requirements for registrants under National Instrument 31-103Registration Requirements, Exemptions and Ongoing Registrant Obligations. We will also discuss the results of our recent targeted review of registrants to assess their compliance with the KYC, know your product (KYP) and suitability obligations and provide guidance to registrants on best practices in these areas.

    Who should attend:

    Individuals responsible for the collection of KYC information and performing suitability reviews on clients’ investments.

    Benefits:

    • Understanding of the common deficiencies related to KYC, KYP and suitability obligations
    • Hear from OSC staff on best practices in these areas

    Presentation slides:

    Slides: Know-your-client and Suitability Obligations
  • OSC / IIROC Market Structure Conference

    November 21, 2013

    Other

    OSC / IIROC Market Structure Conference

    The Canadian Equity Market: Structural Challenges Amidst Rapid Change

    Date: November 21, 2013
    Time: 12:00 AM - 12:00 AM
    Location: Toronto Board of Trade, 77 Adelaide Street West, Toronto, Ontario
    Event Details:

    Agenda

    8:15 a.m. Registration & Continental Breakfast
    9:00 a.m. Welcome and Introduction
    Susan Greenglass, Director, Market Regulation – Ontario Securities Commission
    Wendy Rudd, SVP, Market Regulation and Policy – Investment Industry Regulatory Organization of Canada (IIROC)

    9:15 a.m. Question and Answer Session - Regulatory Challenges in the Canadian Market
    This interactive Q&A session will examine the role of regulators in today’s market structure and the current challenges faced by Canadian regulators.

    Susan Wolburgh Jenah, President and CEO - IIROC
    Howard I. Wetston, Q.C, Chair and CEO - Ontario Securities Commission
    Moderator: Howard Green, BNN

    Audio (14.1 MB) Running Time: 01:00:28

    10:00 a.m. Examining the Canadian Regulatory Framework
    Presentation: A discussion of the need to examine the regulatory framework in an ever-changing landscape.

    Tracey Stern, Manager, Market Regulation – Ontario Securities Commission
    Jonathan Sylvestre, Senior Accountant, Market Regulation – Ontario Securities Commission

    Audio (5.9 MB) Running Time: 00:25:24

    Presentation Documents: Challenges of a changing market (in PDF)

    10:30 a.m. Refreshment Break
    10:45 a.m. Panel Discussion – Examining the Canadian Regulatory Framework
    This panel will discuss the evolution of market structure and the regulatory framework fostering the current competitive landscape in North America. The discussion will focus on the impact of the Order Protection Rule, but also probe a number of related areas of regulatory study currently underway including trading and data fees and the launch of new marketplaces.

    Moderator:
    Susan Greenglass, Director, Market Regulation - Ontario Securities Commission
    Panelists:
    Deana Djurdjevic, Senior Vice President, Equities Trading - TMX Group
    Robert Young, CEO - Liquidnet Canada
    Peter Haynes, Managing Director, Index Products - TD Securities
    Cindy Petlock
     
    Audio (15.4 MB) Running Time: 01:05:39

    12:00 p.m. Luncheon Break
    1:15 p.m. Market Quality in a Rapidly Changing Environment
    Presentation: IIROC Studies – interim findings – HFT (Phase III) & Dark Liquidity Impact – Victoria Pinnington, VP, Trading Review & Analysis - IIROC

    Audio (5 MB) Running Time: 00:21:39

    Presentation Documents: Market Quality in a Rapidly Changing Environment (in PDF)

    1:45 p.m. Panel Discussion - Market Quality in a Rapidly Changing Environment
    This panel will discuss how market quality is defined by various stakeholders, current factors contributing to and detracting from market quality and lessons learned from developments in the U.S. markets. The implications of IIROC’s findings will also be deliberated.
    Moderator:
    Wendy Rudd, SVP, Market Regulation and Policy - IIROC
    Panelists:
    Stephen Bain, Managing Director & Head-Canadian Electronic Trading, RBC Capital Markets
    Chris Concannon, Executive Vice-President – Virtu Financial, LLC
    Gregg Berman, Associate Director, Office of Analytics and Research – SEC
    Tal Cohen, CEO – Chi-X Global

    Audio (20.3 MB) Running Time: 01:26:41

    3:00 p.m. Closing Remarks – Susan Greenglass and Wendy Rudd
  • Implications of amendments to NI 31-103 for Client Relationship Model (Session B: In-Person)

    November 21, 2013 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Implications of amendments to NI 31-103 for Client Relationship Model

    This seminar will provide an overview of the recent amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, which introduce performance reporting requirements and enhance existing cost disclosure requirements, as well as introduce some new client statement requirements. The amendments are relevant to all categories of registered dealer and registered adviser, with some application to investment fund managers. We will present a walk-through of the key provisions, discuss how the amendments apply to each registrant category, as well as touch on the time frame for implementation.

    Date: November 21, 2013
    Time: 10:00 AM - 12:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide an overview of the recent amendments to National Instrument 31-103Registration Requirements, Exemptions and Ongoing Registrant Obligations, which introduce performance reporting requirements and enhance existing cost disclosure requirements, as well as introduce some new client statement requirements. The amendments are relevant to all categories of registered dealer and registered adviser, with some application to investment fund managers. We will present a walk-through of the key provisions, discuss how the amendments apply to each registrant category, as well as touch on the time frame for implementation.

    Who should attend:

    Registered representatives and individuals responsible for compliance oversight at registered firms, as well as interested investors.

    Benefits:

    • Know what the amendments are
    • Understand the investor focused reasons for the amendments
    • Gain an awareness of the transition or roll out period and what we expect will be happening during this time
    • Discuss how you and your firm may implement and roll out this new and improved investor information

    Presentation slides:

    Presentation slides:

    Slides: Client Relationship Model Phase 2 (CRM2): Cost and Performance Reporting Requirements

    Additional handouts:

  • Implications of amendments to NI 31-103 for Client Relationship Model (Session A: In-Person)

    November 21, 2013 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Session A: In-Person - Implications of amendments to NI 31-103 for Client Relationship Model

    This seminar will provide an overview of the recent amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, which introduce performance reporting requirements and enhance existing cost disclosure requirements, as well as introduce some new client statement requirements. The amendments are relevant to all categories of registered dealer and registered adviser, with some application to investment fund managers. We will present a walk-through of the key provisions, discuss how the amendments apply to each registrant category, as well as touch on the time frame for implementation.

    Date: November 21, 2013
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide an overview of the recent amendments to National Instrument 31-103Registration Requirements, Exemptions and Ongoing Registrant Obligations, which introduce performance reporting requirements and enhance existing cost disclosure requirements, as well as introduce some new client statement requirements. The amendments are relevant to all categories of registered dealer and registered adviser, with some application to investment fund managers. We will present a walk-through of the key provisions, discuss how the amendments apply to each registrant category, as well as touch on the time frame for implementation.

    Who should attend:

    Registered representatives and individuals responsible for compliance oversight at registered firms, as well as interested investors.

    Benefits:

    • Know what the amendments are
    • Understand the investor focused reasons for the amendments
    • Gain an awareness of the transition or roll out period and what we expect will be happening during this time
    • Discuss how you and your firm may implement and roll out this new and improved investor information

    Presentation slides:

    Slides: Client Relationship Model Phase 2 (CRM2): Cost and Performance Reporting Requirements

    Additional handouts:

  • OSC in the Community (Barrie)

    November 19, 2013 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Barrie)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: November 19, 2013
    Time: 2:00 PM - 3:30 PM
    Location: 190 Bayview Drive, Barrie, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Presentation Documents: Protect Your Money

     

  • OSC in the Community (Ottawa)

    October 28, 2013 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Ottawa)

    An outreach program which takes the OSC's regulatory mandate from Bay Street to Main Street.

    Date: October 28, 2013
    Time: 1:30 PM - 3:00 PM
    Location: 2451 Riverside Drive, Ottawa, Ontario
    Event Details:

    A multi-faceted initiative, OSC staff are travelling to communities across Ontario to both deliver investor seminars on fraud prevention while also meeting with local business, government officials, law enforcement and other community organizations which are impacted by the province's securities regulation.

    The OSC in the Community investor seminar, entitled “Protect Your Money”, covers the following topics:

    • Fraud prevention;
    • Selecting and working with an advisor; and
    • Making informed investment decisions.

    Seminars are delivered by members of the OSC’s Office of Investor Policy, Education and Outreach and our Enforcement Branch.

    OSC staff are also meeting with local business including representatives from:

    • Local economic development corporations;
    • Local chambers of commerce;
    • Post-secondary institution commercialization groups; and
    • Local advisors.

    These business meetings have served to share information as well as receive feedback on issues facing local business such as efforts to raise and access capital in local communities and the broader capital markets.

     

    Presentation Documents: Protect Your Money

     

  • Start to finish: getting through an OSC compliance review (Session B: In-Person)

    October 24, 2013 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Session B: In-Person - Start to finish: Getting through an OSC compliance review

    This seminar will provide a description of the OSC compliance review process which is one of the main tools we use to monitor registrants. This will include a discussion on the types of reviews that we perform, the common deficiencies noted and the various ways that compliance review findings are handled.

    Date: October 24, 2013
    Time: 10:00 AM - 12:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide a description of the OSC compliance review process which is one of the main tools we use to monitor registrants. This will include a discussion on the types of reviews that we perform, the common deficiencies noted and the various ways that compliance review findings are handled.

    Who should attend:

    Most registrants appoint a contact person during a compliance review, usually the Chief Compliance Officer. Individuals who would be responsible for this role and who have a good understanding of the firm’s operations and policies and procedures should attend.

    Benefits:

    • Understanding of the OSC’s compliance review process
    • Hear from OSC staff on common deficiencies identified during compliance reviews
    • Understand the regulatory actions the OSC may take in circumstances where significant regulatory weaknesses are identified

    Presentation slides:

    Slides: Start to finish: Getting through an OSC compliance review