OSC offers additional educational seminars for registrants

TORONTO - The Ontario Securities Commission (OSC) announced today the addition of two new sessions to the Registrant Outreach program, which is designed to assist Ontario registrants in strengthening their compliance practices.

The program will feature an overview of the Ombudsman for Banking Services and Investments (OBSI) process, related to the requirement that all registered dealers and advisers join OBSI as “Participating Firms” by August 2, 2014. The session will feature representatives from both OBSI and the OSC outlining what registrants can expect as a result of their participation with OBSI.

The OSC will also hold a session on calculating participation fees in accordance with OSC Rule 13-502 Fees prior to the December 1, 2014 OSC participation fee filing deadline.

To date, the feedback from participants who attended the 2013 and 2014 seminars has been positive. In 2014, approximately 1,000 individuals registered for the Registrant Outreach sessions, either in-person or via webinar. The program continues to provide Ontario registrants with practical knowledge on compliance-related matters and gives them the opportunity to hear first-hand from OSC Staff on issues impacting them.

Interested registrants can visit the Calendar of Events section of the Registrant Outreach page of the OSC website, for seminar descriptions and registration.

To keep up to date on compliance related matters, join the OSC’s Registrant Outreach community. Community members will receive regular information and updates on OSC initiatives. To join, go to the Registrant Outreach page on the OSC’s website at www.osc.ca.

For questions, please contact [email protected].

The OSC is the regulatory body responsible for overseeing Ontario’s capital markets. The OSC administers and enforces Ontario’s securities and commodity futures laws. Its mandate is to provide protection to investors from unfair, improper or fraudulent practices and to foster fair and efficient capital markets and confidence in capital markets.

 

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