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|FOR IMMEDIATE RELEASE
December 5, 2014
OSC offers additional educational seminars for Ontario registrants
TORONTO – The Ontario Securities Commission (OSC) announced today the addition of three 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 ongoing amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, which were published on October 16, 2014 and come into force on January 11, 2015. The OSC will also update registrants on the upcoming 2015 requirements for the implementation of Phase 2 of the Client Relationship Model amendments that came into force on July 15, 2013. Additionally, the OSC will offer a session dedicated to elements of an effective compliance system focusing on policies and procedures and the roles of the Chief Compliance Officer and Ultimate Designated Person.
The feedback from participants who attended the 2014 seminars has been very positive. In 2014, approximately 1,700 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.gov.on.ca.
For questions, please contact RegistrantOutreach@osc.gov.on.ca.
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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