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  • OSC Dialogue 2020

    November 04, 2020

    Other

    OSC Dialogue 2020

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

    Date: November 04, 2020
    Location: Hilton Toronto, 145 Richmond St. West, Toronto, ON M5H 2L2
    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

  • CIRI Webinar: Virtualizing Your AGM Amid COVID-19

    March 31, 2020 @ 12:00 PM - 1:00 PM

    Other

    CIRI Webinar: Virtualizing Your AGM Amid COVID-19

    In light of COVID-19 and with social distancing measures in effect, issuers may be considering making their Annual General Meeting (AGM) virtual.

    Date: March 31, 2020
    Time: 12:00 PM - 1:00 PM
    Location: Webinar
    Event Details:

    In light of COVID-19 and with social distancing measures in effect, issuers may be considering making their Annual General Meeting (AGM) virtual. Join us for a free-to-member webinar to understand the options available to you, any obstacles that would need to be addressed and potential solutions. Force majeure clauses and the yet-to-be-released CSA guidance on making changes to AGMs will also be covered.

    More information
  • OSC in the Community (Telephone Town Hall)

    March 12, 2020 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Telephone Town Hall)

    Telephone townhalls are a way for the Investor Office to connect with thousands of Ontarians at a time, in the comfort of their own home. Telephone townhalls 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.

    Click here to register

    Date: March 12, 2020
    Time: 6:30 PM - 7:30 PM
    Location: Telephone Townhall
    Event Details:

    Telephone townhalls are a way for the Investor Office to connect with thousands of Ontarians at a time, in the comfort of their own home. Telephone townhalls 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.

    Click here to register

  • OSC in the Community (Toronto)

    March 10, 2020 @ 6:30 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: March 10, 2020
    Time: 6:30 PM - 8:00 PM
    Location: Toronto Public Library, Forest Hill Branch, 700 Eglinton Ave. W., Toronto
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Oshawa)

    March 10, 2020 @ 1:20 PM - 2:25 PM

    OSC in the Community

    OSC in the Community (Oshawa)

    OSC staff will be speaking to GM Salaried Retirees Association about fraud prevention and making more informed financial decisions.

    Date: March 10, 2020
    Time: 1:20 PM - 2:25 PM
    Location: Woodview Park Community Centre, 151 Cadillac Ave. N., Oshawa
    Event Details:

    OSC staff will be speaking to GM Salaried Retirees Association about fraud prevention and making more informed financial decisions.

  • Regulatory Administration: Common Filing Errors, Insider Reporting and the Process for Fee Waivers for Late Insider Reports

    March 04, 2020 @ 1:30 PM - 3:00 PM

    SME Institute Seminars

    Regulatory Administration: Common Filing Errors, Insider Reporting and the Process for Fee Waivers for Late Insider Reports

    This seminar will provide a refresher on navigating SEDI, insider reporting obligations and the insider reporting fee waiver process. The seminar will also briefly touch on common filing errors in the context of prospectus, application and continuous disclosure filings.

    Date: March 04, 2020
    Time: 1:30 PM - 3:00 PM
    Location: Webinar
    Event Details:

    This seminar will provide a refresher on navigating SEDI, insider reporting obligations and the insider reporting fee waiver process. The seminar will also briefly touch on common filing errors in the context of prospectus, application and continuous disclosure filings.

    Who Should Attend:

    • Law clerks and filing agents of reporting issuers
    • General counsel of reporting issuers
    • Junior legal counsel and other advisors
    • Reporting insiders and individuals responsible for the preparation, review and filing of insider reports
     

    Why You Should Attend:

    • To understand securities regulatory timing and filing procedures
    • To learn how to navigate SEDI and properly complete your insider reporting obligations
    • To understand when OSC staff will consider a fee waiver for a late insider report
    • To hear directly from OSC staff on best practices for engaging with staff on procedural and administrative issues
     

    Presentation Documents:

  • OSC in the Community (Scarborough)

    March 04, 2020 @ 1:15 PM - 2:45 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: March 04, 2020
    Time: 1:15 PM - 2:45 PM
    Location: 2562 Eglinton Avenue East, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Toronto)

    March 02, 2020 @ 11:00 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC will participate in the Toronto Police Services Fraud Prevention Month Kickoff event.

    Date: March 02, 2020
    Time: 11:00 AM - 11:30 AM
    Location: 40 College Street, Toronto
    Event Details:

    OSC will participate in the Toronto Police Services Fraud Prevention Month Kickoff event.

  • OSC in the Community (Belwood)

    February 26, 2020 @ 9:30 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Belwood)

    OSC staff will be speaking to the Pine Meadows Senior Community about fraud prevention and making more informed financial decisions.

    Date: February 26, 2020
    Time: 9:30 AM - 11:00 AM
    Location: 8473 Wellington Road 19, Belwood
    Event Details:

    OSC staff will be speaking to the Pine Meadows Senior Community about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Toronto)

    February 25, 2020 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to members of the Steelworkers Association of Active Retirees about fraud prevention and making more informed financial decisions.

    Date: February 25, 2020
    Time: 11:00 AM - 12:00 PM
    Location: 25 Cecil Street, Toronto
    Event Details:

    OSC staff will be speaking to members of the Steelworkers Association of Active Retirees about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Tillsonburg)

    February 24, 2020 @ 9:00 AM - 2:00 PM

    OSC in the Community

    OSC in the Community (Tillsonburg)

    OSC staff will be exhibiting and speaking about fraud prevention and making more informed financial decisions at the Tillsonburg Seniors Active Living Fair.

    Date: February 24, 2020
    Time: 9:00 AM - 2:00 PM
    Location: Tillsonburg Community Centre, 45 Hardy Avenue, Tillsonburg
    Event Details:

    OSC staff will be exhibiting and speaking about fraud prevention and making more informed financial decisions at the Tillsonburg Seniors Active Living Fair.

  • OSC in the Community (Toronto)

    February 18, 2020 @ 12:00 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to the Albany Club about fraud prevention and making more informed investment decisions.

    Date: February 18, 2020
    Time: 12:00 PM - 1:30 PM
    Location: 91 King St. E., Toronto
    Event Details:

    OSC staff will be speaking to the Albany Club about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Ottawa)

    February 12, 2020 @ 10:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Ottawa)

    OSC and Elder Abuse Prevention Ontario staff will be speaking to community members about elder abuse and fraud prevention.

    Date: February 12, 2020
    Time: 10:00 AM - 12:00 PM
    Location: 670 Albert Street, Ottawa
    Event Details:

    OSC and Elder Abuse Prevention Ontario staff will be speaking to community members about elder abuse and fraud prevention.

  • OSC in the Community (Ottawa)

    February 12, 2020 @ 1:15 PM - 2:15 PM

    OSC in the Community

    OSC in the Community (Ottawa)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: February 12, 2020
    Time: 1:15 PM - 2:15 PM
    Location: 2255 Carling Avenue, Ottawa
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Etobicoke)

    February 11, 2020 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Etobicoke)

    OSC staff will be speaking to members of the Probus Club of Etobicoke Investment Club about fraud prevention and making more informed investment decisions.

    Date: February 11, 2020
    Time: 2:00 PM - 3:30 PM
    Location: Fairfield Senior Centre, 80 Lothian Ave., Toronto (Etobicoke)
    Event Details:

    OSC staff will be speaking to members of the Probus Club of Etobicoke Investment Club about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Waterdown)

    February 10, 2020 @ 10:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Waterdown)

    OSC staff will be speaking to the Probus Club of Flamborough about fraud prevention and making more informed financial decisions.

    Date: February 10, 2020
    Time: 10:00 AM - 12:00 PM
    Location: 30 John Street West, Waterdown
    Event Details:

    OSC staff will be speaking to the Probus Club of Flamborough about fraud prevention and making more informed financial decisions.

  • Hot Topics in Continuous Disclosure and Prospectus Filings: What SME issuers need to know

    February 05, 2020 @ 1:30 PM - 3:00 PM

    SME Institute Seminars

    Hot Topics in Continuous Disclosure and Prospectus Filings: What SME issuers need to know

    This seminar will review new issues and discuss common errors that arise in the context of prospectus filings and will discuss deficiencies commonly noted by staff in continuous disclosure filings.

    Date: February 05, 2020
    Time: 1:30 PM - 3:00 PM
    Location: Webinar
    Event Details:

    This seminar will review new issues and discuss common errors that arise in the context of prospectus filings and will discuss deficiencies commonly noted by staff in continuous disclosure filings.

    Some key topics will include:

    • Financial condition concerns in the context of prospectus filings
    • Updates on emerging market issues
    • Forward-looking information disclosure expectations
    • MD&A common deficiencies
     

    Who Should Attend:

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

    Why You Should Attend:

    • To understand certain specific disclosure requirements and common disclosure errors noted in prospectus filings
    • To understand important ongoing securities requirements in order to prepare quality continuous disclosure documentation
    • To keep abreast of new topics
    • To be aware of and avoid common filing deficiencies
     

    Presentation Documents:

  • OSC in the Community (East York)

    February 03, 2020 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (East York)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: February 03, 2020
    Time: 6:30 PM - 7:30 PM
    Location: TPL S. Walter Stewart Branch, 170 Memorial Park Ave., Toronto (East York)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Pickering)

    January 30, 2020 @ 1:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Pickering)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: January 30, 2020
    Time: 1:00 PM - 3:00 PM
    Location: George Ashe Library and Community Centre, 460 Kingston Road, Pickering
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Collingwood)

    January 28, 2020 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Collingwood)

    OSC staff will be speaking to the Probus Club of Hume Street and District about fraud prevention and making informed financial decisions.

    Date: January 28, 2020
    Time: 10:00 AM - 11:00 AM
    Location: Central Park Arena, 85 Paterson St., Collingwood
    Event Details:

    OSC staff will be speaking to the Probus Club of Hume Street and District about fraud prevention and making informed financial decisions.

  • OSC in the Community (Fenelon Falls)

    January 21, 2020 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Fenelon Falls)

    OSC staff will be speaking to community members about fraud prevention and making informed financial decisions.

    Date: January 21, 2020
    Time: 10:30 AM - 11:30 AM
    Location: Fenelon Falls Community Centre, 27 Veterans Way, Fenelon Falls
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making informed financial decisions.

  • OSC in the Community (Etobicoke)

    January 20, 2020 @ 1:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Etobicoke)

    OSC and Elder Abuse Prevention Ontario staff will be speaking to members of the Fieldway Retirees Club about elder abuse and fraud prevention.

    Date: January 20, 2020
    Time: 1:00 PM - 3:00 PM
    Location: 8 Templar Drive, Toronto (Etobicoke)
    Event Details:

    OSC and Elder Abuse Prevention Ontario staff will be speaking to members of the Fieldway Retirees Club about elder abuse and fraud prevention.

  • OSC in the Community (Whitby)

    January 17, 2020 @ 3:00 PM - 4:30 PM

    OSC in the Community

    OSC in the Community (Whitby)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: January 17, 2020
    Time: 3:00 PM - 4:30 PM
    Location: Amica, 200 Kenneth Hobbs Drive, Whitby
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (London)

    January 16, 2020 @ 3:00 PM - 5:00 PM

    OSC in the Community

    OSC in the Community (London)

    OSC staff will be speaking to the CARP London St. Thomas Chapter about fraud prevention and making more informed financial decisions.

    Date: January 16, 2020
    Time: 3:00 PM - 5:00 PM
    Location: Kiwanis Seniors Community Centre, 78 Riverside Drive, London
    Event Details:

    OSC staff will be speaking to the CARP London St. Thomas Chapter about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Brampton)

    January 15, 2020 @ 7:00 PM - 9:00 PM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to the CARP Brampton Chapter about fraud prevention and making more informed financial decisions.

    Date: January 15, 2020
    Time: 7:00 PM - 9:00 PM
    Location: Bramalea Seniors Residence, 30 Peel Centre Drive, Brampton
    Event Details:

    OSC staff will be speaking to the CARP Brampton Chapter about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Wasaga Beach)

    January 09, 2020 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Wasaga Beach)

    OSC staff will be speaking to the Wasaga Beach Mens Probus Club about fraud prevention and making more informed financial decisions.

    Date: January 09, 2020
    Time: 11:00 AM - 12:00 PM
    Location: Wasaga Beach Rec Plex, 1724 Mosley Street, Wasaga Beach
    Event Details:

    OSC staff will be speaking to the Wasaga Beach Mens Probus Club about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Brampton)

    January 07, 2020 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to the Brampton Seniors Council about fraud prevention and making more informed financial decisions.

    Date: January 07, 2020
    Time: 10:00 AM - 11:00 AM
    Location: Flower City, 8870 McLaughlin Rd. S., Brampton
    Event Details:

    OSC staff will be speaking to the Brampton Seniors Council about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Toronto)

    January 06, 2020 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to the Toronto Club of Bell pensioners/retirees about fraud prevention and making more informed financial decisions.

    Date: January 06, 2020
    Time: 1:00 PM - 2:00 PM
    Location: 50 Eglinton Avenue East, Toronto
    Event Details:

    OSC staff will be speaking to the Toronto Club of Bell pensioners/retirees about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Ridgetown)

    December 04, 2019 @ 9:15 AM - 10:15 AM

    OSC in the Community

    OSC in the Community (Ridgetown)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: December 04, 2019
    Time: 9:15 AM - 10:15 AM
    Location: Ridgetown Adult Centre, 19-21 Main St. W., Ridgetown
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Blenheim)

    December 04, 2019 @ 11:15 AM - 12:15 AM

    OSC in the Community

    OSC in the Community (Blenheim)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: December 04, 2019
    Time: 11:15 AM - 12:15 AM
    Location: Blenheim & Community Senior Centre, 55 Jane St. Blenheim
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • 2019 Toronto Refinitiv Summit

    December 02, 2019

    Speech

    2019 Toronto Refinitiv Summit

    OSC Chair Maureen Jensen will present the summit’s opening keynote: Pivoting to a data-driven economy: what's at stake and Pat Chaukos, Deputy Director, OSC LaunchPad will speak on a panel: Championing financial innovation and digital transformation in Canada.

    Date: December 02, 2019
    Location: 181 Wellington St W, Toronto, ON M5V 3G7, Canada
    Event Details:

    OSC Chair Maureen Jensen will present the summit’s opening keynote: Pivoting to a data-driven economy: what's at stake and Pat Chaukos, Deputy Director, OSC LaunchPad will speak on a panel: Championing financial innovation and digital transformation in Canada. Learn more

    Keynote Address by Maureen Jensen

  • ETFGI’s Global ETFs Insights Summit

    December 02, 2019 @ 9:45 AM - 10:30 AM

    Speech

    ETFGI’s Global ETFs Insights Summit

    Raymond Chan, Director, Investment Funds and Structured Products, will speak on a panel: How Regulations are Impacting Investor Choice.

    Date: December 02, 2019
    Time: 9:45 AM - 10:30 AM
    Location: The St. Regis, Toronto, Canada
    Event Details:

    Raymond Chan, Director, Investment Funds and Structured Products, will speak on a panel: How Regulations are Impacting Investor Choice.

    Learn more

  • OSC in the Community (Scarborough)

    November 28, 2019 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: November 28, 2019
    Time: 1:30 PM - 3:00 PM
    Location: First Alliance Church, 3250 Finch Ave. E., Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Scarborough)

    November 26, 2019 @ 1:00 PM - 2:15 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: November 26, 2019
    Time: 1:00 PM - 2:15 PM
    Location: Rouge Woods Community Centre, 110 Shirley Drive, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Webinar)

    November 21, 2019 @ 9:00 AM - 10:30 AM

    OSC in the Community

    OSC in the Community (Webinar)

    OSC staff will be speaking to new Canadians through the Next Stop Canada program about fraud prevention and making more informed financial decisions.

    Date: November 21, 2019
    Time: 9:00 AM - 10:30 AM
    Location: Webinar
    Event Details:

    OSC staff will be speaking to new Canadians through the Next Stop Canada program about fraud prevention and making more informed financial decisions.

  • OSC Dialogue 2019

    November 21, 2019

    Other

    OSC Dialogue 2019
    Regulation for Confidence and Growth
     

    Confidence in capital markets underpins the ability to create value, build wealth and fuel innovation.

    Date: November 21, 2019
    Location: Metro Toronto Convention Centre, South Building, 222 Bremner Boulevard, Toronto, ON M5V 3L9
    Event Details: Regulation for Confidence and Growth
     

    Confidence in capital markets underpins the ability to create value, build wealth and fuel innovation. Join us at OSC Dialogue 2019 as financial industry leaders, senior regulators and investors discuss collaborative strategies to drive efficiency and economic growth, while fostering market confidence.


    Learn More
  • Registrant Outreach: The OSC Compliance Review Process and Effective Compliance Systems (Session B: In-Person)

    November 20, 2019 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: The OSC Compliance Review Process and Effective Compliance Systems (Session B: In-Person)

    This seminar will provide an overview of:

    • The who, what, where, why, when and how of the OSC compliance review process.
    • The roles and responsibilities of the ultimate designated person and the chief compliance officer....

     

    Date: November 20, 2019
    Time: 2:00 PM - 4:00 PM
    Location: Osgoode Hall 1, Dundas Street West, 26th Floor, Classroom B Toronto, ON M5B 2H1
    Event Details: Description:
     

    This seminar will provide an overview of:

    • The who, what, where, why, when and how of the OSC compliance review process.
    • The roles and responsibilities of the ultimate designated person and the chief compliance officer.
    • The key elements of an effective compliance system including:
      • internal controls,
      • day to day monitoring and supervision, and
      • detailed policies and procedures
    Who should attend:
     

    Ultimate designated persons, chief compliance officers, individuals involved in the day-to-day compliance functions at registered firms and compliance professionals such as legal counsel and consultants

    Benefits:
     
    • Develop a better understanding of the OSC compliance review process.
    • Gain insight on the factors to consider when developing or enhancing a firm’s compliance system.
    • Hear from OSC Staff on the steps they perform to assess the overall adequacy of a firm’s compliance system.

    Documents:
  • OSC in the Community (Markham)

    November 20, 2019 @ 9:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be exhibiting at the BASSIC Safe Seniors 2020 calendar launch.

    Date: November 20, 2019
    Time: 9:30 AM - 12:00 PM
    Location: Markham Seniors Activity Centre, 22 Water Street, Markham
    Event Details:

    OSC staff will be exhibiting at the BASSIC Safe Seniors 2020 calendar launch.

  • OSC in the Community (Telephone Town Hall)

    November 19, 2019 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Telephone Town Hall)

    Telephone townhalls are a way for the Investor Office to connect with thousands of Ontarians at a time, in the comfort of their own home. Telephone townhalls 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.

    Date: November 19, 2019
    Time: 6:30 PM - 7:30 PM
    Location: Telephone Town Hall
    Event Details:

    Telephone townhalls are a way for the Investor Office to connect with thousands of Ontarians at a time, in the comfort of their own home. Telephone townhalls 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.

    Click here to register

  • Registrant Outreach: The OSC Compliance Review Process and Effective Compliance Systems (Session A: In-Webinar)

    November 19, 2019 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: The OSC Compliance Review Process and Effective Compliance Systems (Session A: In-Webinar)

    This seminar will provide an overview of:

    • The who, what, where, why, when and how of the OSC compliance review process.
    • The roles and responsibilities of the ultimate designated person and the chief compliance officer........

     

    Date: November 19, 2019
    Time: 2:00 PM - 4:00 PM
    Location: Webinar
    Event Details: Description:
     

    This seminar will provide an overview of:

    • The who, what, where, why, when and how of the OSC compliance review process.
    • The roles and responsibilities of the ultimate designated person and the chief compliance officer.
    • The key elements of an effective compliance system including:
      • internal controls,
      • day to day monitoring and supervision, and
      • detailed policies and procedures
    Who should attend:
     

    Ultimate designated persons, chief compliance officers, individuals involved in the day-to-day compliance functions at registered firms and compliance professionals such as legal counsel and consultants

    Benefits:
     
    • Develop a better understanding of the OSC compliance review process.
    • Gain insight on the factors to consider when developing or enhancing a firm’s compliance system.
    • Hear from OSC Staff on the steps they perform to assess the overall adequacy of a firm’s compliance system.

    Documents:
  • OSC in the Community (Toronto)

    November 14, 2019 @ 9:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be exhibiting at the Seniors Active Living Fair and also speaking to community members about fraud prevention and making more informed financial decisions.

    Date: November 14, 2019
    Time: 9:00 AM - 3:00 PM
    Location: First Portuguese Canadian Cultural Centre, 60 Caledonia Road, Toronto
    Event Details:

    OSC staff will be exhibiting at the Seniors Active Living Fair and also speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (North York)

    November 14, 2019 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (North York)

    OSC staff will be speaking to members of the Quarter Century Club about fraud prevention and making more informed financial decisions.

    Date: November 14, 2019
    Time: 1:00 PM - 2:00 PM
    Location: North York Civic Centre, 5110 Yonge Street, Burgundy Room, Toronto (North York)
    Event Details:

    OSC staff will be speaking to members of the Quarter Century Club about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Scarborough)

    November 12, 2019 @ 12:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to new Canadians about fraud prevention and making more informed financial decisions.

    Date: November 12, 2019
    Time: 12:30 PM - 2:30 PM
    Location: YWCA Toronto, 3090 Kingston Road, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to new Canadians about fraud prevention and making more informed financial decisions.

  • Advocis’ 11th annual Regulatory Affairs Symposium

    November 12, 2019 @ 10:35 AM - 11:35 AM

    Other

    Advocis’ 11th annual Regulatory Affairs Symposium

    Every advisor knows the weight of regulatory burden. With every new rule, proposal or guidance note, the burden only seems to get worse – and independent advisors are most at risk of getting squeezed. .....

    Date: November 12, 2019
    Time: 10:35 AM - 11:35 AM
    Location: The Ritz-Carlton Hotel, 181 Wellington St. W, Toronto
    Event Details:

    Every advisor knows the weight of regulatory burden. With every new rule, proposal or guidance note, the burden only seems to get worse - and independent advisors are most at risk of getting squeezed. But there finally seems to be hope: the Ontario Securities Commission has made reducing the regulatory burden a priority for 2019-2020.

    What areas will the OSC’s Task Force be focusing on? Are advisors’ concerns getting their due recognition? Will the removal of regulations put consumers at risk – and if not, why were those regulations there in the first place? This panel will bring perspectives from regulators, fund manufacturers and advisors to discuss the Task Force’s efforts to make regulation leaner and smarter.

    MODERATOR

    • Minal Upadhyaya, Vice President, Policy and General Counsel, The Investment Funds Institute of Canada
     

    SESSION PANELISTS

    • Brad Beuttenmiller
      • Associate General Counsel, Legal, Franklin Templeton
    • Curtis Findlay
      • President, Compfin Management Ltd. and Chair, Advocis Investment Sub-Committee
    • Debra Foubert J.D.
      • Director, Compliance and Registrant Regulation, Ontario Securities Commission
    • Naizam Kanji
      • Director of the Office of Mergers & Acquisitions, Special Advisor to the Chair, Regulatory Burden Reduction, Ontario Securities Commission
     

    Learn more

  • OSC in the Community (Oshawa)

    November 06, 2019 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Oshawa)

    OSC staff will be speaking to Quarter Century Club members about fraud prevention and making more informed financial decisions.

    Date: November 06, 2019
    Time: 11:00 AM - 12:00 PM
    Location: Oshawa and District Shrine Club, 1626 Simcoe St. N., Oshawa
    Event Details:

    OSC staff will be speaking to Quarter Century Club members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Markham)

    November 06, 2019 @ 2:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: November 06, 2019
    Time: 2:00 PM - 3:00 PM
    Location: Aaniin Community Centre, 5665 14th Avenue, Markham
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • The Deal's Corporate Governance 2019 Conference

    November 06, 2019

    Speech

    The Deal's Corporate Governance 2019 Conference

    Pick Your Poison: Exploring Hostile Bids, Activist Investor Rules, and White Squire Investments

    In 2016, regulators in Canada installed a new hostile bid regime, which significantly extended the minimum offer period for hostile bidders. Poison Pills adopted in the face of hostile bids are receiving more.....

    Date: November 06, 2019
    Location: Four Seasons Hotel Toronto, 60 Yorkville Ave, Toronto
    Event Details:

    Pick Your Poison: Exploring Hostile Bids, Activist Investor Rules, and White Squire Investments 

    In 2016, regulators in Canada installed a new hostile bid regime, which significantly extended the minimum offer period for hostile bidders. Poison Pills adopted in the face of hostile bids are receiving more scrutiny. This panel will examine the regime, how it is working, and how it jives with Canada’s activist-friendly, special shareholder requisition rules. Panelists also explore factors regulators and courts consider when evaluating whether these investments are incumbent director entrenchment devices or justifiable strategic partnerships.

     Learn more

  • OSC in the Community (Mississauga)

    November 04, 2019 @ 9:00 AM - 2:30 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be exhibiting at the OACAO Aging Well conference.

    Date: November 04, 2019
    Time: 9:00 AM - 2:30 PM
    Location: Hilton Mississauga/Meadowvale, 6750 Mississauga Road., Mississauga
    Event Details:

    OSC staff will be exhibiting at the OACAO Aging Well conference.

  • OSC in the Community (Ottawa)

    October 27, 2019 @ -

    OSC in the Community

    OSC in the Community (Ottawa)

    October 27 & 28, 2019

    Ottawa Chinese Community Service Centre, 400 Cooper St., Ottawa Details: OSC staff will be speaking to new Canadians about fraud prevention and making more informed financial decisions.

    Date: October 27, 2019
    Time: -
    Location: Ottawa Chinese Community Service Centre, 400 Cooper St., Ottawa
    Event Details:

    October 27 & 28, 2019

    Ottawa Chinese Community Service Centre, 400 Cooper St., Ottawa Details: OSC staff will be speaking to new Canadians about fraud prevention and making more informed financial decisions.

  • OSC in the Community (North York)

    October 23, 2019 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (North York)

    OSC staff will be speaking to the Probus Club of North York about fraud prevention and making more informed financial decisions.

    Date: October 23, 2019
    Time: 10:30 AM - 11:30 AM
    Location: North York Memorial Hall, Burgundy Rm A., 5110 Yonge Street, Toronto (North York)
    Event Details:

    OSC staff will be speaking to the Probus Club of North York about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Toronto)

    October 23, 2019 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to new Canadians about fraud prevention and making more informed financial decisions.

    Date: October 23, 2019
    Time: 1:00 PM - 2:00 PM
    Location: Centre for Immigrant and Community Services, 2300 Midland Ave., Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to new Canadians about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Scarborough)

    October 22, 2019 @ 6:00 PM - 7:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: October 22, 2019
    Time: 6:00 PM - 7:00 PM
    Location: TPL Scarborough Civic Centre, 156 Borough Drive, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Collingwood)

    October 17, 2019 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Collingwood)

    OSC staff will be speaking to the Probus Club of Blue Mountain about fraud prevention and making more informed financial decisions.

    Date: October 17, 2019
    Time: 11:00 AM - 12:00 PM
    Location: Royal Canadian Legion, 490 Ontario Street, Collingwood
    Event Details:

    OSC staff will be speaking to the Probus Club of Blue Mountain about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Scarborough)

    October 17, 2019

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: October 17, 2019
    Location: Maryvale Public Library, Parkway Mall, 85 Ellesmere Road, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Windsor)

    October 16, 2019 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Windsor)

    OSC staff will be speaking to Quarter Century Club members about fraud prevention and making more informed financial decisions.

    Date: October 16, 2019
    Time: 11:00 AM - 12:00 PM
    Location: Hellenic Centre, 3052 Walker Road, Windsor
    Event Details:

    OSC staff will be speaking to Quarter Century Club members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Thunder Bay)

    October 10, 2019 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Thunder Bay)

    OSC staff will be speaking to new Canadians about fraud prevention and making more informed financial decisions.

    Date: October 10, 2019
    Time: 1:00 PM - 2:30 PM
    Location: Lakeview Presbyterian Church, 278 Camelot St., Thunder Bay
    Event Details:

    OSC staff will be speaking to new Canadians about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Thunder Bay)

    October 10, 2019 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Thunder Bay)

    OSC staff will be speaking to Quarter Century Club members about fraud prevention and making more informed financial decisions.

    Date: October 10, 2019
    Time: 11:00 AM - 12:00 PM
    Location: Prince Arthur Waterfront Hotel, 17 Cumberland St. N., Thunder Bay
    Event Details:

    OSC staff will be speaking to Quarter Century Club members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Markham)

    October 09, 2019 @ 11:15 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to students in the Financial Services Bridging Program about fraud prevention and making more informed financial decisions.

    Date: October 09, 2019
    Time: 11:15 AM - 12:30 PM
    Location: Seneca College, 8 The Seneca Way, Markham
    Event Details:

    OSC staff will be speaking to students in the Financial Services Bridging Program about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Scarborough)

    October 08, 2019 @ 6:30 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: October 08, 2019
    Time: 6:30 PM - 8:00 PM
    Location: Morningside Public Library, 4279 Lawrence Ave. E., Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Scarborough)

    October 08, 2019 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: October 08, 2019
    Time: 1:00 PM - 2:00 PM
    Location: Kennedy Eglinton Public Library, 2380 Eglinton Ave. E., Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Scarborough)

    October 07, 2019 @ 3:15 PM - 4:30 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking at the Scarborough Retirement Residence about fraud prevention and making more informed

    Date: October 07, 2019
    Time: 3:15 PM - 4:30 PM
    Location: 148 Markham Road, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking at the Scarborough Retirement Residence about fraud prevention and making more informed

  • OSC in the Community (Telephone town hall)

    October 03, 2019 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Telephone town hall)

    Telephone townhalls are a way for the Investor Office to connect with thousands of Ontarians at a time, in the comfort of their own home. Telephone townhalls 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. To participate by phone or online, please register by October 3, 2019 - 12:00pm. Register here

    Date: October 03, 2019
    Time: 6:30 PM - 7:30 PM
    Location: Telephone town hall
    Event Details:

    Telephone townhalls are a way for the Investor Office to connect with thousands of Ontarians at a time, in the comfort of their own home. Telephone townhalls 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. To participate by phone or online, please register by October 3, 2019 - 12:00pm. Register here

  • OSC in the Community (Pickering)

    October 02, 2019 @ 9:00 AM - 2:30 PM

    OSC in the Community

    OSC in the Community (Pickering)

    OSC staff will be exhibiting and also speaking about fraud prevention at the Pickering Active Living Seniors Fair.

    Date: October 02, 2019
    Time: 9:00 AM - 2:30 PM
    Location: Chestnut Hill Developments Recreation Complex, 1867 Valley Farm Road, Pickering
    Event Details:

    OSC staff will be exhibiting and also speaking about fraud prevention at the Pickering Active Living Seniors Fair.

  • Ontario Chamber of Commerce - Ontario's Aging Population Event

    October 01, 2019 @ 1:30 PM - 2:15 PM

    Other

    Ontario Chamber of Commerce - Ontario's Aging Population Event

    1:30 – 2:15 pm older adults, entrepreneurship, & the economy

    This panel will examine the issues of an aging population and the implications of this for the workforce and the economy.

    • Tyler Fleming, Director, Investor Office, Ontario Securities Commission
    • Michelle Gold, Principal, Age Shift
    • Scott Bowman, Senior Director (Ontario/Alberta/Manitoba/Saskatchewan), Futurpreneur Canada
    • Moderator: Lesley Lavender, Executive Director, Prince Edward County Chamber of Commerce

    Date: October 01, 2019
    Time: 1:30 PM - 2:15 PM
    Location: Ontario Investment and Trade Centre, 250 Yonge St. 35th Floor, Main Theatre, Toronto, Ontario M5B 2L7
    Event Details:

    1:30 – 2:15 pm older adults, entrepreneurship, & the economy

    This panel will examine the issues of an aging population and the implications of this for the workforce and the economy.

    • Tyler Fleming, Director, Investor Office, Ontario Securities Commission
    • Michelle Gold, Principal, Age Shift
    • Scott Bowman, Senior Director (Ontario/Alberta/Manitoba/Saskatchewan), Futurpreneur Canada
    • Moderator: Lesley Lavender, Executive Director, Prince Edward County Chamber of Commerce
     

    Learn more

  • OSC in the Community (Wasaga Beach)

    October 01, 2019 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Wasaga Beach)
    OSC staff will be speaking to the Beachcombers Probus Club about fraud prevention and making more informed financial decisions

    Date: October 01, 2019
    Time: 10:00 AM - 11:00 AM
    Location: Recplex, 1724 Mosley Street, Wasaga Beach
    Event Details: OSC staff will be speaking to the Beachcombers Probus Club about fraud prevention and making more informed financial decisions
  • OSC in the Community (Toronto)

    September 27, 2019 @ 12:30 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking at the Syme 55+ Seniors Fair about fraud prevention and making more informed financial decisions.

    Date: September 27, 2019
    Time: 12:30 PM - 1:30 PM
    Location: 33 Pritchard Avenue, Toronto
    Event Details:

    OSC staff will be speaking at the Syme 55+ Seniors Fair about fraud prevention and making more informed financial decisions.

  • OSC in the Community (London)

    September 27, 2019 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (London)

    OSC staff will be speaking to Quarter Century Club members about fraud prevention and making more informed financial decisions.

    Date: September 27, 2019
    Time: 11:00 AM - 12:00 PM
    Location: London, Ontario (Location Pending)
    Event Details:

    OSC staff will be speaking to Quarter Century Club members about fraud prevention and making more informed financial decisions.

  • Global Shareholder Engagement & Activism Summit

    September 26, 2019 @ 3:05 PM - 3:45 PM

    Speech

    Global Shareholder Engagement & Activism Summit

    Interview: Shareholder Activism and Control Transactions: A Regulatory Perspective

    Date: September 26, 2019
    Time: 3:05 PM - 3:45 PM
    Location: Delta Hotel, 75 Lower Simcoe Street, Toronto
    Event Details:

    Interview: Shareholder Activism and Control Transactions: A Regulatory Perspective

    Interviewer: Jeffrey Jones, Mergers & Acquisitions Reporter, The Globe and Mail’s Report on Business

    Interviewee: Naizam Kanji, Director, Office of Mergers & Acquisitions, Ontario Securities Commission

    Learn more

  • OSC in the Community (Mississauga)

    September 26, 2019 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking to the Credit River Probus Club about fraud prevention and making more informed financial decisions.

    Date: September 26, 2019
    Time: 11:00 AM - 12:00 PM
    Location: Mississauga Golf and Country Club, 1725 Mississauga Rd., Mississauga
    Event Details:

    OSC staff will be speaking to the Credit River Probus Club about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Collingwood)

    September 25, 2019 @ 2:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Collingwood)

    OSC staff will be speaking to the 4Seasons Probus Club of Collingwood about fraud prevention and making more informed financial decisions.

    Date: September 25, 2019
    Time: 2:00 PM - 3:00 PM
    Location: Royal Canadian Legion, 490 Ontario Street, Collingwood
    Event Details:

    OSC staff will be speaking to the 4Seasons Probus Club of Collingwood about fraud prevention and making more informed financial decisions.

  • Best Execution, Trading and Research Workshop by Capital Markets Strategies

    September 24, 2019 @ 12:15 PM - 1:15 PM

    Other

    Best Execution, Trading and Research Workshop by Capital Markets Strategies

    12:15 - 1:15pm Luncheon and Fireside Chat with the Ontario Securities Commission (OSC)

    • Jeff Kehoe, Director, Enforcement, Ontario Securities Commission
    • Darren McKall, Manager, Investment Funds and Structured Products, Ontario Securities Commission
    • Tracey Stern, Manager, Market Regulation, Ontario Securities Commission

    Date: September 24, 2019
    Time: 12:15 PM - 1:15 PM
    Location: Vantage Venues, 150 King Street West, Toronto, ON M5H 1J9
    Event Details:

    12:15 - 1:15pm Luncheon and Fireside Chat with the Ontario Securities Commission (OSC)

    • Jeff Kehoe, Director, Enforcement, Ontario Securities Commission
    • Darren McKall, Manager, Investment Funds and Structured Products, Ontario Securities Commission
    • Tracey Stern, Manager, Market Regulation, Ontario Securities Commission
     

    Learn more

  • OSC in the Community (Scarborough)

    September 24, 2019 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: September 24, 2019
    Time: 1:00 PM - 2:00 PM
    Location: Birchmount Bluffs Neighborhood Centre, 93 Birchmount Road., Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Scarborough)

    September 19, 2019 @ 3:15 PM - 4:30 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

    Date: September 19, 2019
    Time: 3:15 PM - 4:30 PM
    Location: Scarborough Retirement Residence, 148 Markham Road, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Brampton)

    September 18, 2019

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to the Brampton Probus Club of Central Peel about fraud prevention and making more informed financial decisions.

    Date: September 18, 2019
    Location: Century Gardens Recreation Centre, 340 Vodden St. E., Brampton
    Event Details:

    OSC staff will be speaking to the Brampton Probus Club of Central Peel about fraud prevention and making more informed financial decisions.

    Time: TBD

  • OSC in the Community (Holland Landing)

    September 17, 2019 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Holland Landing)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: September 17, 2019
    Time: 10:30 AM - 11:30 AM
    Location: Holland Landing Community Centre, 19513 Yonge Street, Holland Landing
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Mississauga)

    September 09, 2019 @ 7:30 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking to the Mississauga Branch of the Canada Federation of University Women about fraud prevention and making more informed investment decisions.

    Date: September 09, 2019
    Time: 7:30 PM - 8:30 PM
    Location: Huron Park Recreation Centre, 830 Paisley Blvd W, Mississauga
    Event Details:

    OSC staff will be speaking to the Mississauga Branch of the Canada Federation of University Women about fraud prevention and making more informed investment decisions.

  • 5th Annual FinTech Conference Canada

    August 14, 2019 @ 1:35 PM - 2:15 PM

    Speech

    5th Annual FinTech Conference Canada

    Paving the Way for Innovation: A regulator’s perspective on the evolution of capital markets and responding to disruptive technologies.

    Date: August 14, 2019
    Time: 1:35 PM - 2:15 PM
    Location: MaRS Discovery District 101 College Street Toronto, ON M5G 1L7
    Event Details:

    Paving the Way for Innovation: A regulator’s perspective on the evolution of capital markets and responding to disruptive technologies.

    Learn more
  • OSC in the Community (Etobicoke)

    August 13, 2019 @ 2:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Etobicoke)

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

    Date: August 13, 2019
    Time: 2:30 PM - 3:00 PM
    Location: Rexdale Community Health Centre, 8 Taber Road, Toronto (Etobicoke)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Hamilton)

    July 25, 2019 @ 12:30 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Hamilton)

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

    Date: July 25, 2019
    Time: 12:30 PM - 1:30 PM
    Location: Riverdale Community Centre, 150 Violet Drive, Hamilton
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Ancaster)

    July 24, 2019 @ 10:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Ancaster)

    OSC staff will be speaking to the Ancaster Probus Club about fraud prevention and making more informed investment decisions.

    Date: July 24, 2019
    Time: 10:00 AM - 12:00 PM
    Location: Marshall Memorial United Church, 20 Gilbert Ave., Ancaster
    Event Details:

    OSC staff will be speaking to the Ancaster Probus Club about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Oshawa)

    July 18, 2019 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Oshawa)

    OSC staff will be speaking to the Durham Central Probus about fraud prevention and making more informed investment decisions.

    Date: July 18, 2019
    Time: 11:00 AM - 12:00 PM
    Location: Oshawa Shrine Club , 1626 Simcoe St N. Oshawa
    Event Details:

    OSC staff will be speaking to the Durham Central Probus about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Toronto)

    July 16, 2019 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: July 16, 2019
    Time: 1:00 PM - 2:00 PM
    Location: 200 Wellesley St. E., Toronto
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Markham)

    July 14, 2019 @ 1:30 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to the U of T York Region Alumni Group about fraud prevention and making more informed investment decisions.

    Date: July 14, 2019
    Time: 1:30 PM - 3:30 PM
    Location: Markham Public Library, 6031 Highway 7, Markham
    Event Details:

    OSC staff will be speaking to the U of T York Region Alumni Group about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Windsor)

    July 09, 2019 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Windsor)

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

    Date: July 09, 2019
    Time: 10:00 AM - 11:00 AM
    Location: West Side Seniors Centre, 635 McEwan Ave, Windsor, ON N9B 2E9
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Scarborough)

    July 04, 2019 @ 10:45 AM - 11:45 AM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to newcomers about fraud prevention and making more informed investment decisions.

    Date: July 04, 2019
    Time: 10:45 AM - 11:45 AM
    Location: Polycultural Immigrant and Community Services, 3660-A Midland Avenue, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to newcomers about fraud prevention and making more informed investment decisions.

  • OSC In the Community (Stoney Creek)

    June 24, 2019 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC In the Community (Stoney Creek)

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

    Date: June 24, 2019
    Time: 1:00 PM - 2:00 PM
    Location: Stoney Creek Recreation Centre, 45 King St. W., Stoney Creek
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

  • OSC in the Community (North Bay)

    June 21, 2019 @ 10:00 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (North Bay)

    OSC and Canadian Anti-Fraud Centre will be speaking about fraud prevention and making more informed financial decisions.

    Date: June 21, 2019
    Time: 10:00 AM - 12:30 PM
    Location: Memorial Gardens Lobby, 100 Chippewa St. W., North Bay
    Event Details:

    OSC and Canadian Anti-Fraud Centre will be speaking about fraud prevention and making more informed financial decisions.

  • OSC in the Community (Owen Sound)

    June 19, 2019 @ 10:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Owen Sound)

    OSC staff will be speaking to the Probus Club of Owen Sound about fraud prevention and making more informed investment decisions.

    Date: June 19, 2019
    Time: 10:00 AM - 12:00 PM
    Location: Harry Lumley Bayshore Community Centre, 1900 3rd Ave. E., Owen Sound
    Event Details:

    OSC staff will be speaking to the Probus Club of Owen Sound about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Kincardine)

    June 18, 2019 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Kincardine)

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

    Date: June 18, 2019
    Time: 11:00 AM - 12:00 PM
    Location: Kincardine Library, 727 Queen St., Kincardine
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Chesley)

    June 18, 2019 @ 2:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Chesley)

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions

    Date: June 18, 2019
    Time: 2:00 PM - 3:00 PM
    Location: Chesley Library, 73 2nd Avenue. S.E., Chesley
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions

  • OSC in the Community (Sudbury)

    June 14, 2019 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Sudbury)

    OSC staff will be at the 3rd Annual Ageing in Place Symposium to exhibit and speak about fraud prevention and making more informed investment decisions.

    Date: June 14, 2019
    Time: 10:00 AM - 3:00 PM
    Location: Carmichael Arena, 1298 Bancroft Drive, Sudbury
    Event Details:

    OSC staff will be at the 3rd Annual Ageing in Place Symposium to exhibit and speak about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Sudbury)

    June 13, 2019 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Sudbury)

    OSC staff will be speaking to newcomers about fraud prevention and making more informed investment decisions.

    Date: June 13, 2019
    Time: 1:30 PM - 2:30 PM
    Location: YMCA Sudbury, 10 Elm Street, Sudbury
    Event Details:

    OSC staff will be speaking to newcomers about fraud prevention and making more informed investment decisions.

  • Telephone town hall

    June 12, 2019 @ 6:30 PM - 7:30 PM

    OSC in the Community

    Telephone town hall

    Telephone townhalls are a way for the Investor Office to connect with thousands of Ontarians at a time, in the comfort of their own home. Telephone townhalls 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. To participate by phone or online, please register by June 12, 2019 - 12:00pm.

    Date: June 12, 2019
    Time: 6:30 PM - 7:30 PM
    Location: Telephone town hall
    Event Details:

    Telephone townhalls are a way for the Investor Office to connect with thousands of Ontarians at a time, in the comfort of their own home. Telephone townhalls 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. To participate by phone or online, please register by June 12, 2019 - 12:00pm.

    Register here

  • PCMA Spring Conference 2019 - Cutting Red Tape & Growing Capital Formation in Canada

    June 12, 2019 @ 8:30 AM - 9:00 AM

    Other

    PCMA Spring Conference 2019 - Cutting Red Tape & Growing Capital Formation in Canada

    Rapidfire One on One with Tim Moseley - Vice-Chair - Ontario Securities Commission

    Date: June 12, 2019
    Time: 8:30 AM - 9:00 AM
    Location: The Design Exchange, 234 Bay Street, Toronto, Ontario M5K 1B2
    Event Details:

    Rapidfire One on One with Tim Moseley - Vice-Chair - Ontario Securities Commission

    Cutting Red Tape and Regulatory Burden Reduction

    Introduction: Julie Clarke

    Moderator: Bruce Croxon

    Entrepreneur, television personality and venture capitalist. Partner at Round13 Capital and former co-host of BNN's TV show, The Disruptors. Advisory council, Ryerson DMZ: a world industry leading tech incubator.

    Learn more

  • OSC in the Community (Scarborough)

    June 11, 2019 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

    Date: June 11, 2019
    Time: 6:30 PM - 7:30 PM
    Location: Highland Creek Public Library, 3550 Ellesmere Road, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Richmond Hill)

    June 11, 2019 @ 9:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Richmond Hill)

    OSC staff will be at the York Region Seniors’ Day event providing information about fraud prevention and making more informed investment decisions.

    Date: June 11, 2019
    Time: 9:00 AM - 3:00 PM
    Location: Oak Ridges Community Centre, 12895 Bayview Avenue, Richmond Hill
    Event Details:

    OSC staff will be at the York Region Seniors’ Day event providing information about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Toronto)

    May 30, 2019 @ 9:00 AM - 5:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be at the Annual NICE Knowledge Exchange providing information about fraud prevention and making more informed investment decisions.

    Date: May 30, 2019
    Time: 9:00 AM - 5:00 PM
    Location: Hart House, in the University of Toronto, 7 Hart House Circle, Toronto
    Event Details:

    OSC staff will be at the Annual NICE Knowledge Exchange providing information about fraud prevention and making more informed investment decisions.

  • IIF Digital Finance Symposium

    May 29, 2019 @ 12:20 PM - 1:10 PM

    Other

    IIF Digital Finance Symposium

    This panel will examine the experience of regulators and financial institutions with sandboxes so far, including the benefits, methods to ensure market integrity and customer protection, and the outlook for the concept in the future.

    Date: May 29, 2019
    Time: 12:20 PM - 1:10 PM
    Location: Jack Morton Auditorium, George Washington University, Washington, D.C,. U.S.
    Event Details:

    Industry and the public sector seek ways to unleash innovation for more inclusive, efficient, and effective financial services while containing the risks. Regulatory sandboxes have emerged to play an important role in enabling financial innovation and are proliferating around the globe; including efforts to allow cross border testing of new products and develop common policy approaches through the Global Financial Innovation Network (GFIN).

    Moderator

    • Adrien Delle-Case, Policy Advisor, Regulatory Affairs, IIF
     

    Panelists

    • Pat Chaukos, Deputy Director, LaunchPad and Policy, Ontario Securities Commission (OSC)
    • Sopnendu Mohanty, Chief FinTech Officer, Monetary Authority of Singapore
    • John Stecher, Chief Innovation Officer, Barclays
    • Jeff Kupfer, Co-founder, Starling Trust Sciences
    • Jo Ann Barefoot, Chief Executive Officer, Barefoot Innovation Group
     

    Register

  • Roundtable on Reducing Regulatory Burden Related to Trading, Marketplaces, Issuer Requirements, and Derivatives

    May 27, 2019 @ 1:00 PM - 4:00 PM

    Other

    Roundtable on Reducing Regulatory Burden Related to Trading, Marketplaces, Issuer Requirements, and Derivatives

    This roundtable is part of the Ontario Securities Commission’s ongoing consultation on reducing regulatory burden in Ontario’s capital markets and improving the investor experience.

    Date: May 27, 2019
    Time: 1:00 PM - 4:00 PM
    Location: Design Exchange, 234 Bay Street, Toronto, ON M5K 1B2
    Event Details:

    This roundtable is part of the Ontario Securities Commission’s ongoing consultation on reducing regulatory burden in Ontario’s capital markets and improving the investor experience.

    In this working meeting, senior OSC staff will discuss how the OSC is considering the evaluation and prioritization of the burden reduction opportunities identified during the consultation process on OSC Staff Notice 11-784 Burden Reduction. This will be a collaborative discussion that will allow market participants and investor representatives the opportunity to provide real time feedback on the OSC’s approach to reducing regulatory burden.

    This roundtable will be moderated by OSC Vice-Chair Grant Vingoe and will focus on trading, marketplaces, issuer requirements, and derivatives. Susan Greenglass, Director, Market Regulation will join Kevin Fine, Director, Derivatives, Sonny Randhawa, Director, Corporate Finance and Pat Chaukos, Deputy Director, OSC Launchpad|Policy to provide an overview of how their respective branches are considering the potential burden reduction initiatives identified by stakeholders and by staff.

    The discussion will cover several specific topics that emerged in the consultation process.

    Roundtable Transcript

    This event follows the roundtable on May 6, 2019 to discuss topics related to registration, compliance and investment funds. 

    Agenda


    1:00 pm

    Opening remarks
    Naizam Kanji, Special Advisor to the Chair, Regulatory Burden Reduction, OSC

    1:10 pm

    Open Discussion
    Moderator: Grant Vingoe, Vice-Chair, OSC
    Topics:

    1. Interacting with multiple regulators and potential ways the OSC can streamline reviews and reduce regulatory duplication in a global environment
    2. Working with the OSC: exploring performance including service standards, processes, points of contact and outreach
    3. Streamlining regulatory filings requirements, such as trade reporting, reports of exempt distribution, continuous disclosure and other filings

    2:10 pm

    Questions from the audience

    2:20 pm

    Break  

    2:35 pm

    Open Discussion, continued
    Topics:

    1. Prospectus reviews and opportunities to increase certainty for issuers
    1. Electronic delivery of documents
    2. Technological improvements to national systems and the OSC website
    3. Additional topics, as time permits

    3:35 pm

    Questions from the audience

    3:50 pm

    Closing Remarks
    Maureen Jensen, Chair & CEO, OSC

    Confirmed roundtable participants include:

    Moderator: Grant Vingoe, Vice-Chair, OSC

    • Naizam Kanji, Special Advisor to the Chair, Regulatory Burden Reduction, OSC
    • Pat Chaukos, Deputy Director, OSC LaunchPad|Policy, OSC
    • Kevin Fine, Director, Derivatives, OSC
    • Susan Greenglass, Director, Market Regulation, OSC
    • Sonny Randhawa, Director, Corporate Finance, OSC
    • Srijan Agrawal, Director, RBC Capital Markets
    • Loui Anastasopoulos, President, Capital Formation, TMX Group
    • Jamie Anderson, General Counsel & Corporate Secretary, Canadian Securities Exchange
    • Nancy Anderson, VP Financial Reporting & CFO, REALPAC
    • Cole Diamond, CEO, Coinsquare
    • Denis Frawley, Member, PDAC Securities Committee
    • Sony Gokhale, General Counsel, Supreme Cannabis
    • Harvey Naglie, Member, OSC Investor Advisory Panel
    • Alex Perel, Head of ETF Services, Scotiabank
    • Cindy Petlock, Chief Legal Officer, NEO Exchange
    • Victoria Pinnington, SVP, Market Regulation, IIROC
    • Manoj Pundit, Partner, Corporate Finance & Securities, Borden Ladner Gervais LLP
    • Tim Reibetanz, Senior Counsel, Bank of Montreal
    • Nick Savona, Chief Compliance Officer, Independent Trading Group (ITG), Inc.
    • Bassem Shakeel, Vice-President & Corporate Secretary, Magna International
    • Matt Thompson, Chief Compliance Officer, Nasdaq Canada
    • Kuno Tucker, Chief Compliance Officer, MATCHNow
  • OSC in the Community (Thorold)

    May 22, 2019 @ 11:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Thorold)

    OSC staff will be speaking to the RWTO St. Catharines Branch about fraud prevention and making more informed investment decisions.

    Date: May 22, 2019
    Time: 11:30 AM - 12:00 PM
    Location: Four Points by Sheraton St. Catharines, 3550 Schmon Parkway, Thorold
    Event Details:

    OSC staff will be speaking to the RWTO St. Catharines Branch about fraud prevention and making more informed investment decisions.

  • Day of Dialogue Toronto - Transparency International Canada

    May 16, 2019 @ 3:00 PM - 4:30 PM

    Other

    Day of Dialogue Toronto - Transparency International Canada

    Update on the OSC Whistleblower program

    In 2018, the Ontario Securities Commission introduced new rules for a whistleblower program that incentivizes potential whistleblowers to come forward with information of serious cases of misconduct. Whistleblowers can receive up to $5 million for useful information. In March, the OSC made the first of such payouts, awarding $7.5 million to two whistleblowers. In this panel, OSC will present their new program, and panelists will discuss how it compares with other jurisdictions and where there is still work to be done.

    Date: May 16, 2019
    Time: 3:00 PM - 4:30 PM
    Location: Borden Ladner Gervais LLP, 22 Adelaide St W., #3400, Toronto, ON M5H 4E3
    Event Details:

    Update on the OSC Whistleblower program

    In 2018, the Ontario Securities Commission introduced new rules for a whistleblower program that incentivizes potential whistleblowers to come forward with information of serious cases of misconduct. Whistleblowers can receive up to $5 million for useful information. In March, the OSC made the first of such payouts, awarding $7.5 million to two whistleblowers. In this panel, OSC will present their new program, and panelists will discuss how it compares with other jurisdictions and where there is still work to be done.

    SPEAKERS

    • Sabrina Baldani (Panel Moderator) | Associate, Bennett Jones LLP
    • André Moniz | Manager, Office of the Whistleblower, Ontario Securities Commission
    • Sandy Boucher | Senior Investigator, Grant Thornton LLP

    Learn more: http://www.transparencycanada.ca/

  • Registrant Outreach: Amendments to the Investment Fund rules for Alternative Mutual Funds (Session B: In-Person)

    May 15, 2019 @ 1:00 PM - 3:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: Amendments to the Investment Fund rules for Alternative Mutual Funds (Session B: In-Person)

    This seminar will provide an overview of the recent amendments to NI 81-102 & NI 81-101 that have recently come into effect with respect to Alternative Mutual Funds.

    Date: May 15, 2019
    Time: 1:00 PM - 3:00 PM
    Location: Osgoode Hall, Classroom B, 1 Dundas Street West Toronto, ON M5B 2H1
    Event Details:

    Description:

    This seminar will provide an overview of the recent amendments to NI 81-102 & NI 81-101 that have recently come into effect with respect to Alternative Mutual Funds.

    Who should attend:

    Registered representatives, ultimate designated persons, chief compliance officers and legal counsel of IFMs and PMs.

    Benefits:

    • Enhance understanding of the revised regulation for Alternative Mutual Funds now in effect.
     

    Documents:

  • OSC LaunchPad Information Day

    May 15, 2019 @ 2:00 PM - 3:00 PM

    Other

    OSC LaunchPad Information Day

    Once again, the OSC LaunchPad team is opening its doors to the fintech community.

    Date: May 15, 2019
    Time: 2:00 PM - 3:00 PM
    Location: Ontario Securities Commission, 20 Queen Street West, 20th Floor
    Event Details:

    Once again, the OSC LaunchPad team is opening its doors to the fintech community.

    We welcome individuals in the fintech community to come in, have a coffee, and chat about developments since launching the initiative, including the recent Joint CSA/IIROC Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms.

    Registration is free and is first come, first served. (ONLY 1 registrant per company/firm will be invited to attend this session. We will confirm attendance via confirmation email by April 29, 2019)

    Register

  • Registrant Outreach: Amendments to the Investment Fund rules for Alternative Mutual Funds (Session A: In-Webinar)

    May 14, 2019 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: Amendments to the Investment Fund rules for Alternative Mutual Funds (Session A: In-Webinar)

    This seminar will provide an overview of the recent amendments to NI 81-102 & NI 81-101 that have recently come into effect with respect to Alternative Mutual Funds.

    Date: May 14, 2019
    Time: 2:00 PM - 4:00 PM
    Location: Webinar
    Event Details:

    Description:

    This seminar will provide an overview of the recent amendments to NI 81-102 & NI 81-101 that have recently come into effect with respect to Alternative Mutual Funds.

    Who should attend:

    Registered representatives, ultimate designated persons, chief compliance officers and legal counsel of IFMs and PMs.

    Benefits:

    • Enhance understanding of the revised regulation for Alternative Mutual Funds now in effect.
     

    Documents:

  • OSC’s Whistleblower Program and its Implications for Internal Audit Professionals

    May 14, 2019 @ 1:00 PM - 2:00 PM

    Other

    OSC’s Whistleblower Program and its Implications for Internal Audit Professionals

    The OSC’s Whistleblower Program, launched in 2016, is the first paid program of its kind in Canada to offer awards of up to $5 million to whistleblowers for information on violations of Ontario securities law. The program is designed to motivate individuals with specific, timely and credible information on securities misconduct to come forward and report to the OSC, while also encouraging them to work through their entity’s internal compliance and reporting mechanisms. It presents an opportunity for market participants to create a culture that encourages and empowers employees to report wrongdoing, without fear of reprisal. This session will cover:

    • An overview of the OSC’s Whistleblower Program, its progress and recent developments,
    • Legislative amendments which bolster anti-reprisal protections, and
    • Practical whistleblowing considerations for internal audit professionals.

    Date: May 14, 2019
    Time: 1:00 PM - 2:00 PM
    Location: Virtual
    Event Details:

    The OSC’s Whistleblower Program, launched in 2016, is the first paid program of its kind in Canada to offer awards of up to $5 million to whistleblowers for information on violations of Ontario securities law. The program is designed to motivate individuals with specific, timely and credible information on securities misconduct to come forward and report to the OSC, while also encouraging them to work through their entity’s internal compliance and reporting mechanisms. It presents an opportunity for market participants to create a culture that encourages and empowers employees to report wrongdoing, without fear of reprisal. This session will cover:

    • An overview of the OSC’s Whistleblower Program, its progress and recent developments,
    • Legislative amendments which bolster anti-reprisal protections, and
    • Practical whistleblowing considerations for internal audit professionals.

    Our Speakers are;

    Krystyna Kott - Chief Internal Auditor, Ontario Securities Commission

    Krystyna Kott is the Chief Internal Auditor of the Ontario Securities Commission where she established an internal audit function and helped the Commission to enhance its governance and risk management practices. In previous public sector roles she was an internal audit director for the Province of Ontario. She also played leadership roles in modernizing management practices across the province including introducing a provincial general ledger to replace multiple ministry general ledgers, moving the province from cash-based to accrual-based accounting, simplifying province-wide internal reporting and establishing risk management and performance management processes. In the private sector she was controller for an airline start up in the US and Controller/Chief Financial Officer for a transportation group of companies in the Caribbean.

    She has served as board member, board secretary and chaired board audit, governance and HR committees of several non-profit organizations.
     

    Shaifali Joshi-Clark, CPA, CA, CFA – Senior Forensic Accountant, Office of the Whistleblower, Ontario Securities Commission

    Shaifali Joshi-Clark is a Senior Forensic Accountant in the Office of the Whistleblower of the Enforcement Branch. She was a key member in the development of the OSC’s Whistleblower Program. Since the program’s launch in 2016, she deals directly with Whistleblowers and reviews their tips, corresponds with Commission Staff assigned to investigate whistleblower tips and responds to public enquiries about the Whistleblower Program. Prior to joining the Enforcement Branch in 2015, Shaifali worked for over six years in the Corporate Finance Branch of the OSC where she reviewed offering documents and continuous disclosure filings of issuers primarily in the mining and biotech industries. Prior to joining the OSC in 2008, Shaifali worked at an international investment bank in equity research and in the finance department of a global mining company. Shaifali is a Chartered Accountant and a CFA® charterholder.
     

    Daniella Kozovski, B.A., M.A., LL.B. - Senior Investigation Counsel, Office of the Whistleblower, Ontario Securities Commission

    Daniella Kozovski is Senior Investigation Counsel with the Office of the Whistleblower at the Ontario Securities Commission. Daniella joined the Office of the Whistleblower in early 2019 and is responsible for reviewing and assessing whistleblower submissions, corresponding with whistleblowers, assisting Commission staff assigned to investigate whistleblower matters, responding to calls made to the whistleblower hotline and conducting outreach by participating in speaking engagements discussing the whistleblower program. Prior to joining the Office of Whistleblower, Daniella spent close to 15 years with the Enforcement Branch in various roles which included leading multi-disciplinary teams investigating and prosecuting a variety of Ontario Securities Act violations such as unregistered trading, illegal distributions and fraud. Daniella also has a Certificate in Blockchain, Smart Contracts and the Law and a Certificate in Alternative Dispute Resolution.
     

    Learn more: https://www.eiseverywhere.com/ehome/index.php?eventid=391315&

  • 12th Annual Focus Event on Registrant Regulation Conduct & Compliance

    May 14, 2019 @ 1:30 PM -

    Other

    12th Annual Focus Event on Registrant Regulation Conduct & Compliance

    CASE STUDY: OSC

    Whistleblowers: Improve your Internal Controls to Identify and Address Any Securities Misconduct Proactively

    Christine Tabbert

    • Deputy Director, Operations, Enforcement Division, Ontario Securities Commission

    Dena Staikos

    • Manager in the Compliance and Registrant Regulation Branch (CRR), Ontario Securities Commission

    Date: May 14, 2019
    Time: 1:30 PM -
    Location: Hilton Doubletree, 108 Chestnut Street, Toronto, ON, M5G1R3
    Event Details:

    CASE STUDY: OSC

    Whistleblowers: Improve your Internal Controls to Identify and Address Any Securities Misconduct Proactively

    Christine Tabbert

    • Deputy Director, Operations, Enforcement Division, Ontario Securities Commission

    Dena Staikos

    • Manager in the Compliance and Registrant Regulation Branch (CRR), Ontario Securities Commission

    Learn more: https://www.registrationreform.com/program/

  • OSC in the Community (Markham)

    May 13, 2019 @ 1:15 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to newcomers about fraud prevention and making more informed investment decisions.

    Date: May 13, 2019
    Time: 1:15 PM - 2:30 PM
    Location: Seneca College, 8 The Seneca Way, Markham
    Event Details:

    OSC staff will be speaking to newcomers about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Toronto)

    May 09, 2019

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

    Date: May 09, 2019
    Location: St. Andrew's Church, 117 Bloor Street East, Toronto
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Etobicoke)

    May 08, 2019 @ 12:00 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Etobicoke)

    OSC staff will be speaking to the Rotary Club of Etobicoke about fraud prevention and making more informed investment decisions.

    Date: May 08, 2019
    Time: 12:00 PM - 1:30 PM
    Location: Old Mill Restaurant, 21 Old Mill Road, Toronto (Etobicoke)
    Event Details:

    OSC staff will be speaking to the Rotary Club of Etobicoke about fraud prevention and making more informed investment decisions.

  • TMX Equities Trading Conference

    May 08, 2019 @ 8:40 AM -

    Other

    TMX Equities Trading Conference

    8:40 am Regulatory Landscape: Update and Discussion

    Moderator

    • Jonathan Sylvestre, TMX Group

    Panelists

    • Susan Greenglass, OSC
    • Victoria Pinnington, IIROC
    • Lynn Tsutsumi, ASC

    Date: May 08, 2019
    Time: 8:40 AM -
    Location: TIFF Bell Lightbox, 350 King Street West, Toronto, ON M5V 3X5
    Event Details:

    8:40 am Regulatory Landscape: Update and Discussion

    Moderator

    • Jonathan Sylvestre, TMX Group

    Panelists

    • Susan Greenglass, OSC
    • Victoria Pinnington, IIROC
    • Lynn Tsutsumi, ASC

    Learn more https://www.tsx.com/trading-conference

  • Roundtable on Reducing Regulatory Burden Related to Registration, Compliance, and Investment Funds

    May 06, 2019 @ 1:00 PM - 4:00 PM

    Other

    Roundtable on Reducing Regulatory Burden Related to Registration, Compliance, and Investment Funds

    This roundtable is part of the Ontario Securities Commission’s ongoing consultation on reducing regulatory burden in Ontario’s capital markets and improving the investor experience.

    Date: May 06, 2019
    Time: 1:00 PM - 4:00 PM
    Location: Design Exchange, 234 Bay Street, Toronto, ON M5K 1B2
    Event Details:

    This roundtable is part of the Ontario Securities Commission’s ongoing consultation on reducing regulatory burden in Ontario’s capital markets and improving the investor experience.

    In this working meeting, senior OSC staff will discuss how the OSC is considering the evaluation and prioritization of the burden reduction opportunities identified during the consultation process on OSC Staff Notice 11-784: Burden Reduction. This will be a collaborative discussion that will allow market participants and investor representatives the opportunity to provide real time feedback on the OSC’s approach to reducing regulatory burden.

    This roundtable will be moderated by OSC Vice-Chair Tim Moseley and will focus on registration, compliance and investment fund issues. Debra Foubert, Director, Compliance and Registrant Regulation and Raymond Chan, Director, Investment Funds & Structured Products will provide an overview of how their respective branches are considering the potential burden reduction initiatives identified by stakeholders and by staff.

    The discussion will cover several specific topics that emerged in the consultation process.

    Roundtable Transcript

    An additional roundtable is planned for May 27, 2019 to explore topics related to trading, marketplaces, issuer requirements and derivatives.

     

    Agenda

    1:00 pm

    Opening remarks
    Naizam Kanji, Special Advisor to the Chair, Regulatory Burden Reduction, OSC

    1:10 pm

    Open Discussion
    Moderator: Tim Moseley, Vice-Chair, OSC

    Topics:

    1. A discussion about the relationship between regulatory requirements and staff guidance and how guidance is used in compliance and prospectus reviews
    2. Interacting with multiple regulators, and ways the OSC can streamline reviews and reduce duplication with other securities regulators and SROs
    3. Working with the OSC: exploring performance including service standards, processes, points of contact and outreach

    2:10 pm

    Break  

    2:25 pm

    Open Discussion, continued

    Topics:

    1. Data collection for regulatory oversight, including the Risk Assessment Questionnaire process and collection of investment fund data
    2. Specific requirements raised in the comment letters, including the reporting of outside business activities and the use of fund facts
    3. A discussion about the implementation of the alternative mutual fund regime 
    4. Understanding the cost of compliance as well as the steps and processes to launch new products
    5. Additional topics, as time permits

    3:25 pm

    Questions from the audience

    3:40 pm

    Closing Remarks
    Maureen Jensen, Chair & CEO, OSC

     

    Confirmed roundtable participants include:

    Moderator: Tim Moseley, Vice-Chair, OSC

    • Naizam Kanji, Special Advisor to the Chair, Regulatory Burden Reduction, OSC
    • Raymond Chan, Director, Investment Funds & Structured Products, OSC
    • Debra Foubert, Director, Compliance & Registrant Regulation, OSC
    • Elizabeth King, Deputy Director, Registrant Conduct, Compliance & Registrant Regulation, OSC
    • Felicia Tedesco, Deputy Director, Operations, Compliance & Registrant Regulation, OSC
    • Michelle Alexander, Vice President, IIAC
    • Darrell Bartlett, Chief Compliance Officer, Knowledge First Financial Inc.
    • Denys Calvin, COO, Nexus Investment Management Inc.
    • Julie Cordeiro, VP, Chief Administrative Officer & General Counsel, Burgundy Asset Management
    • Neil Gross, Chair, OSC Investor Advisory Panel
    • Margaret Gunawan, Managing Director, Head of Canada Legal & Compliance, BlackRock
    • Belle Kaura, Chair, AIMA Canada
    • Ken Kivenko, President, Kenmar Associates
    • Brian Koscak, President, Chief Compliance Officer, General Counsel, Pinnacle Wealth Brokers Inc.
    • John Kruk, Partner, Fasken Martineau DuMoulin LLP
    • Robert Lemon, Executive Director, CIBC World Markets Inc.
    • Peter Moulson, VP, Compliance, CIBC
    • Rob Sklar, Manager, Legal Services & Senior Legal Counsel, Fidelity Investments Canada ULC
    • Prema Thiele, Partner, Borden Ladner Gervais LLP
    • Minal Upadhyaya, Vice President, Policy & General Counsel, The Investment Funds Institute of Canada
    • Blair Wiley, General Counsel & Head of Regulatory Affairs, Wealthsimple
    • Alan Wunsche, CEO, TokenFunder
  • OSC in the Community (Leamington)

    May 03, 2019 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Leamington)

    OSC staff will be exhibiting and speaking to community members at the Leamington Half Century Healthy Aging Expo about fraud prevention and making more informed investment decisions.

    Date: May 03, 2019
    Time: 10:00 AM - 3:00 PM
    Location: Half Century Club, 160 Talbot St. E., Leamington
    Event Details:

    OSC staff will be exhibiting and speaking to community members at the Leamington Half Century Healthy Aging Expo about fraud prevention and making more informed investment decisions.

  • The Summit for Asset Management

    May 02, 2019

    Other

    The Summit for Asset Management

    The Summit for Asset Management (TSAM) Toronto will be comprised of keynote presentations on today’s biggest topics followed by four co-located conference tracks, delving deeper into the challenges and solutions surrounding your role.

    Date: May 02, 2019
    Location: The Globe and Mail Centre
    Event Details:

    12:25 pm Insights from the Regulator – Recent Developments at the OSC’s Whistleblower Program

    Ashok Menen, Investigation Counsel - Office of the Whistleblower - Enforcement Branch, Ontario Securities Commission

    3:00 pm 2 Perspectives on Regulation –The Regulator & the Regulated

    Moderator: Jacqueline Sanz, Chief Compliance Officer, Caldwell Investment Management
    Supriya Kapoor, Independent Regulatory Consultant
    Debra Foubert, Compliance & Registrant Regulation, Director, Ontario Securities Commission
     

    Learn more

  • OSC in the Community (Mississauga)

    May 01, 2019 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking to the Municipal Retirees Organization Ontario, Zone 4 about fraud prevention and making more informed investment decisions.

    Date: May 01, 2019
    Time: 1:00 PM - 2:00 PM
    Location: Maple Banquet Hall, 1325 Eglinton Ave. E., Mississauga
    Event Details:

    OSC staff will be speaking to the Municipal Retirees Organization Ontario, Zone 4 about fraud prevention and making more informed investment decisions.

  • OSC in the Community (Scarborough)

    April 30, 2019 @ 12:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

    Date: April 30, 2019
    Time: 12:30 PM - 2:30 PM
    Location: Birchmount Bluffs Neighborhood Centre, 93 Birchmount Road, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

  • OSC in the Community (Newmarket)

    April 27, 2019 @ 10:00 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Newmarket)

    OSC staff will be speaking to members of the Chosen Generation Ministries about fraud prevention and making informed investment decisions.

    Date: April 27, 2019
    Time: 10:00 AM - 11:30 AM
    Location: Bethel Christian Reform Church, 333 Davis Drive, Newmarket
    Event Details:

    OSC staff will be speaking to members of the Chosen Generation Ministries about fraud prevention and making informed investment decisions.

  • OSC in the Community (Webinar)

    April 25, 2019 @ 9:00 AM - 10:30 AM

    OSC in the Community

    OSC in the Community (Webinar)

    OSC staff will be speaking to newcomers as part of the YMCA’s pre-arrival settlement program about fraud prevention and making more informed financial decisions.

    Date: April 25, 2019
    Time: 9:00 AM - 10:30 AM
    Location: Webinar
    Event Details:

    OSC staff will be speaking to newcomers as part of the YMCA’s pre-arrival settlement program about fraud prevention and making more informed financial decisions.

  • Federation of Mutual Fund Dealers 8th Annual Conference

    April 23, 2019 @ 1:15 PM - 3:00 PM

    Other

    Federation of Mutual Fund Dealers 8th Annual Conference

    1:15 pm Behavioural Intelligence

    •  Doug Sarro, Senior Advisor, Research and Regulatory Innovation, Ontario Securities Commission
     

    2:00 pm Cannabis: Clearing the Air

    • John Waldron, Founder, Learnedly
    • Jasmin Jabri, Chief Compliance Officer, Head of Compliance – Invesco Canada
    • Tyler Fleming, Director, Investor Office, Ontario Securities Commission

    Date: April 23, 2019
    Time: 1:15 PM - 3:00 PM
    Location: The Carlu, 444 Yonge Street, Toronto, ON
    Event Details:

    1:15 pm Behavioural Intelligence

    •  Doug Sarro, Senior Advisor, Research and Regulatory Innovation, Ontario Securities Commission
     

    2:00 pm Cannabis: Clearing the Air

    • John Waldron, Founder, Learnedly
    • Jasmin Jabri, Chief Compliance Officer, Head of Compliance – Invesco Canada
    • Tyler Fleming, Director, Investor Office, Ontario Securities Commission
     

    Registration: https://www.fmfd.ca/shop/

    Learn more

  • OSC in the Community (Scarborough)

    April 18, 2019 @ 10:45 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions.

    Date: April 18, 2019
    Time: 10:45 AM - 12:00 PM
    Location: Polycultural Immigrant & Community Services, 3550-A Midland Ave., Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions.

  • OSC in the Community (Richmond Hill)

    April 16, 2019 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Richmond Hill)

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

    Date: April 16, 2019
    Time: 10:30 AM - 11:30 AM
    Location: McConaghy Centre, 10100 Yonge Street, Richmond Hill
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

  • 2019 International Financial Crimes Investigators Conference

    April 11, 2019 @ 1:45 PM -

    Speech

    2019 International Financial Crimes Investigators Conference

    Topic: Issues to Address During the Intake Process: Criminal, Regulatory & Civil Fraud Complaints

    Speakers
    Elizabeth Jordan, Manager, Enforcement, OSC
    Norman Groot, Investigation Counsel

    Date: April 11, 2019
    Time: 1:45 PM -
    Location: Delta Toronto Hotel, South Core Financial Centre, 75 Lower Simcoe St., Toronto, ON M5J 3A6
    Event Details:

    Topic: Issues to Address During the Intake Process: Criminal, Regulatory & Civil Fraud Complaints

    Speakers

    Elizabeth Jordan, Manager, Enforcement, OSC
    Norman Groot, Investigation Counsel

  • OSC in the Community (Toronto)

    April 11, 2019 @ 2:00 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to residents of New Horizons Tower about fraud prevention and making informed investment decisions.

    Date: April 11, 2019
    Time: 2:00 PM - 3:00 PM
    Location: 1140 Bloor Street West, Toronto
    Event Details:

    OSC staff will be speaking to residents of New Horizons Tower about fraud prevention and making informed investment decisions.

  • OSC in the Community (North York)

    April 10, 2019 @ 9:30 AM - 2:00 PM

    OSC in the Community

    OSC in the Community (North York)

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions. 

    Date: April 10, 2019
    Time: 9:30 AM - 2:00 PM
    Location: 5 Fairview Mall Drive, Rm.478, Toronto (North York)
    Event Details:

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions.

  • Fintech & Financing Conference 2019 - FFCON19

    April 04, 2019 @ 1:15 PM - 2:00 PM

    Other

    Fintech & Financing Conference 2019 - FFCON19

    Join Jonathan Yeung of the OSC LaunchPad as he discusses key updates on emerging regulations with the fellow members of the Canadian Securities Administrators (CSA).

    Date: April 04, 2019
    Time: 1:15 PM - 2:00 PM
    Location: 789 Yonge St. 2nd floor, Toronto, ON M4W 2G8 (Yorkville)
    Event Details:

    Topic: FEARLESS Regulators: Dialogue with the CSA and Key Updates on Emerging Regulation

    Join Jonathan Yeung of the OSC LaunchPad as he discusses key updates on emerging regulations with the fellow members of the Canadian Securities Administrators (CSA). 

    Some topics that will be discussed

    • GFIN (global sandbox initiative)
    • Digital securities and tokenization
    • Crypto asset custody
    • Harmonize crowdfunding regime
    • Crypto-asset trading platform consultation Regtech solutions

    Panelists:

    • Jonathan Yeung, Senior Business Adviser, OSC LaunchPad, Ontario Securities Commission
    • Gabriel Perras, Lawyer / Analyst, Corporate Finance Department, Autorité des marchés financiers
    • Marco St-Jacques, Senior Analyst, Autorité des marchés financiers
    • James Leong, Senior Legal Counsel, Capital Markets Regulation, BC Securities Commission
    • Alixe Cormick, President, Venture Law Corporation

    Get Tickets: https://fintechandfunding.com/tickets/

  • OSC in the Community (Scarborough)

    March 30, 2019 @ 10:00 AM - 2:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be exhibiting at the Seniors Information and Active Living Fair to provide information about fraud prevention and making informed investment decisions.

    Date: March 30, 2019
    Time: 10:00 AM - 2:00 PM
    Location: Senior Persons Living Connected, 3333 Finch Avenue, Scarborough
    Event Details:

    OSC staff will be exhibiting at the Seniors Information and Active Living Fair to provide information about fraud prevention and making informed investment decisions.

  • OSC in the Community (telephone townhall)

    March 27, 2019 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (telephone townhall)

    Telephone townhalls are a way for the Investor Office to connect with thousands of Ontarians at a time, in the comfort of their own home. Telephone townhalls 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. To participate by phone or online, please register by March 27, 2019 12:00pm

    Date: March 27, 2019
    Time: 6:30 PM - 7:30 PM
    Location: Telephone Townhall
    Event Details:

    Telephone townhalls are a way for the Investor Office to connect with thousands of Ontarians at a time, in the comfort of their own home. Telephone townhalls 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. To participate by phone or online, please register by March 27, 2019 12:00pm

    Register for this event

  • Roundtable on Reducing Regulatory Burden

    March 27, 2019 @ 1:00 PM - 4:30 PM

    Other

    Roundtable on Reducing Regulatory Burden

    Roundtable to discuss how to reduce unnecessary rules and processes while protecting investors and the integrity of our markets, as set out in OSC Staff Notice 11-784: Burden Reduction.

    Date: March 27, 2019
    Time: 1:00 PM - 4:30 PM
    Location: Design Exchange, 234 Bay Street, Toronto, ON M5K 1B2
    Event Details:

    The first public roundtable will consider regulatory burden and its impact, how to measure, set priorities and maximize the impact of burden reduction initiatives, and high-level themes important to burden reduction that emerged in the comment period. Remarks by the Ontario Minister of Finance, the Honourable Vic Fedeli will also be included.

    Roundtable Video

    Roundtable Transcript

    Final Agenda

    1:00 pm

    Opening Remarks
    Maureen Jensen, Chair and CEO, Ontario Securities Commission (OSC)

    1:05 pm

    Topic 1: Defining Burden: A discussion of regulatory burden and its impact
    In this panel, key market participants and industry associations will share their knowledge and insight about regulatory burden in the capital markets. Panelists will identify themes as well as rules and processes they believe are unnecessary, outdated or unduly burdensome.

    • Moderator: Mary Condon, Interim Dean, Osgoode Hall Law School
    • Paul Bourque, President and CEO, Investment Funds Institute of Canada
    • Randy Cass, CEO, Nest Wealth Asset Management Inc.
    • Frank Laferriere, Chair, Private Capital Markets Association of Canada
    • Ian Russell, President and CEO, Investment Industry Association of Canada

    2:15 pm

    Topic 2: Prioritizing our Efforts: Setting priorities for maximum impact
    This panel will consider how to measure, set priorities and maximize the impact of burden reduction initiatives. Panelists will discuss techniques for analysis and measurement of burden, and how to obtain robust information on regulatory costs. This panel will also consider burden reduction in the context of its potential impact on retail investors and investor protection.

    • Moderator: Tim Moseley, Vice-Chair, OSC
    • Patricia Callon, Senior Vice President and General Counsel, Sun Life Financial Canada
    • Neil Gross, Chair, OSC Investor Advisory Panel
    • Katie Walmsley, President, Portfolio Management Association of Canada

    3:15 pm

    Break

    3:35 pm

    Topic 3: What’s Next – the way forward
    This panel will discuss the high-level themes important to burden reduction that emerged in the comment period and during the prior panels. Additionally, panelists will share where they feel the focus should be as we move forward.

    • Moderator: Naizam Kanji, Special Advisor to the Chair, Regulatory Burden Reduction
    • Debra Foubert, Director, Compliance and Registrant Regulation, OSC
    • Andrew Kriegler, President and CEO, Investment Industry Regulatory Organization of Canada
    • Karen L. McGuinness, Senior Vice-President, Member Regulation – Compliance, Mutual Fund Dealers Association of Canada

    4:25 pm

    Closing Remarks
    Ontario Minister of Finance, the Honourable Vic Fedeli

  • OSC in the Community (Scarborough)

    March 26, 2019 @ 2:30 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

    Date: March 26, 2019
    Time: 2:30 PM - 3:30 PM
    Location: 3760 Sheppard Avenue East, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

  • OSC in the Community (Webinar)

    March 25, 2019 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Webinar)

    Elder Abuse Ontario and OSC staff will speak to service providers working with older adults about financial abuse and making informed financial decisions.

    Date: March 25, 2019
    Time: 11:00 AM - 12:00 PM
    Location: Webinar
    Event Details:

    Elder Abuse Ontario and OSC staff will speak to service providers working with older adults about financial abuse and making informed financial decisions. Register for the webinar

  • OSC in the Community (Mississauga)

    March 21, 2019 @ 12:15 PM - 1:00 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking at the Seniors Information and Active Living Fair about fraud prevention and making informed investment decisions.

    Date: March 21, 2019
    Time: 12:15 PM - 1:00 PM
    Location: Active Adult Centre of Mississauga, 116-377 Burnhamthorpe Road East, Mississauga
    Event Details:

    OSC staff will be speaking at the Seniors Information and Active Living Fair about fraud prevention and making informed investment decisions.

  • OSC in the Community (Ajax)

    March 14, 2019 @ 12:00 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Ajax)

    OSC staff will be speaking to the Rotary Club of Ajax about fraud prevention and making informed investment decisions.

    Date: March 14, 2019
    Time: 12:00 PM - 1:30 PM
    Location: Ajax Public Library, 55 Harwood Avenue South, Ajax
    Event Details:

    OSC staff will be speaking to the Rotary Club of Ajax about fraud prevention and making informed investment decisions.

  • OSC in the Community (Stratford)

    March 13, 2019 @ 10:50 AM - 11:35 AM

    OSC in the Community

    OSC in the Community (Stratford)

    OSC staff will be speaking to the Probus Club of Stratford about fraud prevention and making informed investment decisions.

    Date: March 13, 2019
    Time: 10:50 AM - 11:35 AM
    Location: Festival Inn, 1144 Ontario Street, Stratford
    Event Details:

    OSC staff will be speaking to the Probus Club of Stratford about fraud prevention and making informed investment decisions.

  • OSC in the Community (Toronto)

    March 11, 2019 @ 10:00 AM - 2:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff and Elder Abuse Ontario will be speaking about financial abuse and making informed investment decisions. Space is limited. To register, call 416-596-4250.

    Date: March 11, 2019
    Time: 10:00 AM - 2:00 PM
    Location: St. Joseph’s Health Centre, 30 The Queensway, Education Centre A (near cafeteria), Toronto
    Event Details:

    OSC staff and Elder Abuse Ontario will be speaking about financial abuse and making informed investment decisions. Space is limited. To register, call 416-596-4250.

  • OSC in the Community (Etobicoke)

    March 06, 2019 @ 2:30 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Etobicoke)

    OSC staff will be speaking to residents about fraud prevention and making informed investment decisions.

    Date: March 06, 2019
    Time: 2:30 PM - 3:30 PM
    Location: Delmanor Prince Edward, 4180 Dundas St. W., Toronto (Etobicoke)
    Event Details:

    OSC staff will be speaking to residents about fraud prevention and making informed investment decisions.

  • Northwind’s 3rd Annual FinTech Invitational Forum Policymakers’ and Regulators’ Roundtable

    March 01, 2019

    Other

    Northwind’s 3rd Annual FinTech Invitational Forum Policymakers’ and Regulators’ Roundtable

    Join Pat Chaukos, Deputy Director of OSC LaunchPad, and other policymakers and regulators as they reflect on what they have heard at the Forum and to outline current and future plans for FinTech regulation and how to reconcile the many challenges that are present in Canada’s federal system of federal (stability) and provincial jurisdiction (marketplace, contracts, accreditation).

    Date: March 01, 2019
    Location: Langdon Hall, Cambridge ON
    Event Details:

    11:00 - 11:30 AM Discussion Leader Remarks

    11:30 - 12:30 PM Open Discussion

    Join Pat Chaukos, Deputy Director of OSC LaunchPad, and other policymakers and regulators as they reflect on what they have heard at the Forum and to outline current and future plans for FinTech regulation and how to reconcile the many challenges that are present in Canada’s federal system of federal (stability) and provincial jurisdiction (marketplace, contracts, accreditation).

    Moderator:

    Jeffrey S. Graham, Borden Ladner Gervais LLP

    Discussion Leaders:

    Julien Brazeau, Department of Finance

    Pat B. Chaukos, OSC LaunchPad

    Jean-Philippe Petit, Autorité des marchés financiers (AMF)

    David Wai, Ontario Ministry of Finance

     

  • OSC in the Community (Mississauga)

    February 28, 2019 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

    Date: February 28, 2019
    Time: 1:30 PM - 2:30 PM
    Location: River Grove Community Centre, 5800 River Grove Avenue, Seniors Room, Mississauga
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

  • Senate of Canada

    February 27, 2019 @ 4:15 PM -

    Other

    Senate of Canada

    Pat Chaukos will be participating in a discussion examining and reporting on the potential benefits and challenges of open banking for Canadian consumers. 

    Date: February 27, 2019
    Time: 4:15 PM -
    Location: Room B30, Senate of Canada Building
    Event Details:

    Pat Chaukos will be participating in a discussion examining and reporting on the potential benefits and challenges of open banking for Canadian consumers.

    Speakers:

    • Pat Chaukos, Deputy Director, OSC LaunchPad (Ontario Securities Commission)
    • Marina Mandal, Vice President, Banking Transformation and Strategy(Canadian Bankers Association)
    • Angelina Mason, General Counsel and Vice President (Canadian Bankers Association)
    • Robert Vokes, Senior Managing Director and Financial Services Lead, Canada (Accenture Inc.)
    View: http://senparlvu.parl.gc.ca/XRender/en/PowerBrowser/PowerBrowserV2?fk=513445&globalStreamId=3&useragent=Mozilla/5.0%20(Windows%20NT%2010.0;%20Win64;%20x64)%20AppleWebKit/537.36%20(KHTML,%20like%20Gecko)%20Chrome/72.0.3626.119%20Safari/537.36
  • OSC in the Community (Brampton)

    February 22, 2019 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be exhibiting and speaking at the Brampton Seniors Information and Active Living Fair about fraud prevention and making informed investment decisions.

    Date: February 22, 2019
    Time: 10:00 AM - 3:00 PM
    Location: Shoppers World, 499 Main St. S., Brampton
    Event Details:

    OSC staff will be exhibiting and speaking at the Brampton Seniors Information and Active Living Fair about fraud prevention and making informed investment decisions.

  • Current Trends in Prospectus Filings: What SME issuers need to know

    February 21, 2019 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Current Trends in Prospectus Filings: What SME issuers need to know

    This seminar will review common issues and errors that arise in the context of prospectus filings under National Instrument 41-101 General Prospectus Requirements (NI 41-101), National Instrument 44-101 Short Form Prospectus Distributions (NI 44-101) and National Instrument 44-102 Shelf Distributions (NI 44-102), as well as several hot topics.

    Date: February 21, 2019
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    This seminar will review common issues and errors that arise in the context of prospectus filings under National Instrument 41-101 General Prospectus Requirements (NI 41-101), National Instrument 44-101 Short Form Prospectus Distributions (NI 44-101) and National Instrument 44-102 Shelf Distributions (NI 44-102), as well as several hot topics, including:

    • General Overview of Types of Prospectuses and Offerings
    • Prospectus Filing and Review Process
    • Prospectus Procedural Requirements, Timing and Fees
    • Hot Buttons in Prospectus Reviews
      • Financial condition and sufficiency of proceeds
      • Mining issues
      • M&A matters (e.g., dual-share structures)
    • Reverse Take-overs
    • Syndicated Mortgages
    • Reducing regulatory burden initiatives affecting the prospectus process

    Who should attend:

    • General counsel of SME reporting issuers
    • CEOs and CFOs of SMEs
    • Directors of SMEs
    • Legal counsel and other external advisors to SMEs

    Why You Should Attend:

    • To learn more about the requirements of NI 41-101, NI 44-101 and NI 44-102 when filing a prospectus
    • To understand certain specific disclosure requirements and common disclosure errors
    • To hear directly from OSC staff on timely topics
    • Individuals and advisors of private companies considering going public may wish to attend to learn about disclosure requirements for an initial public offering prospectus

    Register now

     

  • Registrant Outreach: Compliance with the Proceeds of Crime Money Laundering and Terrorist Financing Act (Session B: In-Person)

    February 21, 2019 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: Compliance with the Proceeds of Crime Money Laundering and Terrorist Financing Act (Session B: In-Person)

    The Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) will be conducting a seminar. This seminar is designed to address the implementation and maintenance of a compliance program as well as client identification, record keeping and reporting obligations in accordance with the Proceeds of Crime Money Laundering and Terrorist Financing Act (PCMLTFA). FINTRAC will address this by providing an overview of:

    Date: February 21, 2019
    Time: 2:00 PM - 4:00 PM
    Location: Ontario Heritage Centre 10 Adelaide Street East, Gallery Room Toronto, ON M5C 1J3
    Event Details:

    Description:

    The Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) will be conducting a seminar. This seminar is designed to address the implementation and maintenance of a compliance program as well as client identification, record keeping and reporting obligations in accordance with the Proceeds of Crime Money Laundering and Terrorist Financing Act (PCMLTFA). FINTRAC will address this by providing an overview of:

    • Securities dealers’ PCMLTFA obligations, the examination process and assessment approach with a focus on a compliance program’s overall effectiveness;
    • Common deficiencies observed in examinations conducted in this sector and best practices; and
    • The role and importance of Securities dealers in submitting suspicious transaction reports.


    Who should attend:

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs).

    Benefits:

    • Enhanced understanding of the client identification, recordkeeping and reporting obligations in accordance with the PCMLTFA.
    • Enhanced understanding of FINTRAC’s examination process and common deficiencies observed across securities dealers and advisors.



     
  • OSC in the Community (Newmarket)

    February 20, 2019 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Newmarket)

    OSC staff will be speaking to the Men’s Probus Club of Newmarket about fraud prevention and making informed investment decisions.

    Date: February 20, 2019
    Time: 11:00 AM - 12:00 PM
    Location: Seton Hall, 17955 Leslie Street, Newmarket
    Event Details:

    OSC staff will be speaking to the Men’s Probus Club of Newmarket about fraud prevention and making informed investment decisions.

  • OSC in the Community (Barrie)

    February 19, 2019 @ 10:45 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Barrie)

    OSC staff will be speaking to the Barrie Probus Club about fraud prevention and making informed investment decisions.

    Date: February 19, 2019
    Time: 10:45 AM - 11:30 AM
    Location: Sheba Shrine Club, 142 John Street, Barrie
    Event Details:

    OSC staff will be speaking to the Barrie Probus Club about fraud prevention and making informed investment decisions.

  • Registrant Outreach: Compliance with the Proceeds of Crime Money Laundering and Terrorist Financing Act (Session A: In-Webinar)

    February 19, 2019 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: Compliance with the Proceeds of Crime Money Laundering and Terrorist Financing Act (Session A: In-Webinar)

    The Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) will be conducting a seminar. This seminar is designed to address the implementation and maintenance of a compliance program as well as client identification, record keeping and reporting obligations in accordance with the Proceeds of Crime Money Laundering and Terrorist Financing Act (PCMLTFA). FINTRAC will address this by providing an overview of:

    Date: February 19, 2019
    Time: 2:00 PM - 4:00 PM
    Location: Ontario Heritage Centre 10 Adelaide Street East, Gallery Room Toronto, ON M5C 1J3
    Event Details:

    Description:

    The Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) will be conducting a seminar. This seminar is designed to address the implementation and maintenance of a compliance program as well as client identification, record keeping and reporting obligations in accordance with the Proceeds of Crime Money Laundering and Terrorist Financing Act (PCMLTFA). FINTRAC will address this by providing an overview of:

    • Securities dealers’ PCMLTFA obligations, the examination process and assessment approach with a focus on a compliance program’s overall effectiveness;
    • Common deficiencies observed in examinations conducted in this sector and best practices; and
    • The role and importance of Securities dealers in submitting suspicious transaction reports.


    Who should attend:

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs).

    Benefits:

    • Enhanced understanding of the client identification, recordkeeping and reporting obligations in accordance with the PCMLTFA.
    • Enhanced understanding of FINTRAC’s examination process and common deficiencies observed across securities dealers and advisors.




     
  • OSC LaunchPad Information Day

    February 13, 2019 @ 1:00 PM - 2:00 PM

    Other

    OSC LaunchPad Information Day

    The OSC LaunchPad team is opening its doors to the public to answer questions related to fintech.

    Date: February 13, 2019
    Time: 1:00 PM - 2:00 PM
    Location: Ontario Securities Commission, 20th Floor, 20 Queen Street West, Toronto, ON M5H 3S8
    Event Details:

    The OSC LaunchPad team is opening its doors to the public to answer questions related to fintech.

    We welcome members of the community to come in, have a coffee, and chat about developments that may affect their business, including the Canadian Securities Administrators’ Regulatory Sandbox and staff notice on cryptocurrency offerings.

    Registration is free and is first come, first served. Please note that due to space constraints, and efforts to ensure representation from across the community, ONLY 1 registrant per firm will be invited to attend this session.

    Register

  • Operationalizing Blockchain: Legal Issues and Challenges to Consider

    February 05, 2019 @ 1:30 PM - 4:30 PM

    Speech

    Operationalizing Blockchain: Legal Issues and Challenges to Consider

    3:30 pm Balancing Innovation with Regulation

    Kimberley Cunnington Taylor, Nelligan O'Brien Payne LLP (Moderator)
    Usman M. Sheikh, National Head, Blockchain & Smart Contracts, Gowling WLG
    Amanda Ramkissoon, Fintech Regulatory Advisor, Ontario Securities Commission
    Laura Gheorghiu, Gowling WLG

    Date: February 05, 2019
    Time: 1:30 PM - 4:30 PM
    Location: OBA Conference Centre 20 Toronto Street, 2nd Floor, Toronto, ON M5C 2B8
    Event Details:

    3:30 pm Balancing Innovation with Regulation

    Kimberley Cunnington Taylor, Nelligan O'Brien Payne LLP (Moderator)
    Usman M. Sheikh, National Head, Blockchain & Smart Contracts, Gowling WLG 
    Amanda Ramkissoon, Fintech Regulatory Advisor, Ontario Securities Commission
    Laura Gheorghiu, Gowling WLG

     

    • Striking the right balance between investor/consumer protection and not stifling innovation
    • Key considerations when regulating innovation
    •  Key regulatory developments on securities, banking, AML/KYC

    Learn more

  • OSC in the Community (Toronto)

    January 29, 2019 @ 9:00 AM - 10:30 AM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to new Canadians about fraud prevention and making informed investment decisions.

    Date: January 29, 2019
    Time: 9:00 AM - 10:30 AM
    Location: Working Women Community Centre, 5 Fairview Mall, Toronto
    Event Details:

    OSC staff will be speaking to new Canadians about fraud prevention and making informed investment decisions.

  • Toxic Cultures in the Era of #MeToo - How to Recognize and Respond to Signs That Something's Wrong

    January 29, 2019 @ 8:15 AM - 9:15 AM

    Other

    Toxic Cultures in the Era of #MeToo - How to Recognize and Respond to Signs That Something's Wrong

    The recent #MeToo movement has deeply impacted organizations by shedding light on harassment and abuse that is often perpetuated or tolerated by those in leadership positions. The way an organization responds to allegations of harassment and abuse can have significant impact on the mental health of employees.

    Date: January 29, 2019
    Time: 8:15 AM - 9:15 AM
    Location: 111 Princes' Boulevard, Toronto, ON M6K 3C3
    Event Details:

    The recent #MeToo movement has deeply impacted organizations by shedding light on harassment and abuse that is often perpetuated or tolerated by those in leadership positions. The way an organization responds to allegations of harassment and abuse can have significant impact on the mental health of employees.

    This session will begin with a presentation that examines:

    • Prevalence and impact of harassment at work
    • What employers can do to create an environment where people can come forward without fear of reprisal
    • How employees can speak up when they see wrongdoing.

    The following panel will look at the broader issue of dysfunctional cultures and the signs you should look for to identify if something is wrong.

    Presenter: Jane Watson, Head, People and Operations, Actionable

    Panellists:

    • André J. Moniz , Manager, Office of the Whistleblower, Enforcement Branch, Ontario Securities Commission
    • Christine  Pietschmann, Executive Director, Talent Management, CBC/Radio-Canada
    • Milé  Komlen, Director, Human Rights and Equity Services, McMaster University
  • Corporate Culture 2019: People, Purpose, Performance

    January 29, 2019 @ 8:15 AM - 9:15 AM

    Other

    Corporate Culture 2019: People, Purpose, Performance

    The recent #MeToo movement has deeply impacted organizations by shedding light on harassment and abuse that is often perpetuated or tolerated by those in leadership positions. The way an organization responds to allegations of harassment and abuse can have significant impact on the mental health of employees.

    Date: January 29, 2019
    Time: 8:15 AM - 9:15 AM
    Location: Hotel X, 111 Princes' Boulevard, Toronto, ON M6K 3C3
    Event Details:
    The recent #MeToo movement has deeply impacted organizations by shedding light on harassment and abuse that is often perpetuated or tolerated by those in leadership positions. The way an organization responds to allegations of harassment and abuse can have significant impact on the mental health of employees.

    This session will begin with a presentation that examines:
    • Prevalence and impact of harassment at work
    • What employers can do to create an environment where people can come forward without fear of reprisal
    • How employees can speak up when they see wrongdoing.

    The following panel will look at the broader issue of dysfunctional cultures and the signs you should look for to identify if something is wrong.
    Presenter: Jane Watson, Head, People and Operations, Actionable
    Panellists:
    • André J. Moniz , Manager, Office of the Whistleblower, Enforcement Branch, Ontario Securities Commission
    • Christine Pietschmann, Executive Director, Talent Management, CBC/Radio-Canada
    • Milé Komlen, Director, Human Rights and Equity Services, McMaster University
  • OSC in the Community (Burlington)

    January 28, 2019 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Burlington)

    OSC staff will be speaking to the Women’s Probus Group of Burlington about fraud prevention and making informed investment decisions.

    Date: January 28, 2019
    Time: 10:00 AM - 11:00 AM
    Location: Art Gallery of Burlington, 1333 Lakeshore Road, Burlington
    Event Details:

    OSC staff will be speaking to the Women’s Probus Group of Burlington about fraud prevention and making informed investment decisions.

  • OSC in the Community (Mississauga)

    January 17, 2019 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking to the Probus Club of Cooksville about fraud prevention and making informed investment decisions.

    Date: January 17, 2019
    Time: 11:00 AM - 12:00 PM
    Location: Living Arts Centre, 4141 Living Arts Dr., Mississauga
    Event Details:

    OSC staff will be speaking to the Probus Club of Cooksville about fraud prevention and making informed investment decisions.

  • Hot Topics in Continuous Disclosure: What SME issuers need to know

    January 15, 2019 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Hot Topics in Continuous Disclosure: What SME issuers need to know

    This seminar will review new issues and discuss errors commonly seen by staff as reporting issuers prepare their annual continuous disclosure filings pursuant to National Instrument 51-102 Continuous Disclosure Obligations (NI 51-102).

    Date: January 15, 2019
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    This seminar will review new issues and discuss errors commonly seen by staff as reporting issuers prepare their annual continuous disclosure filings pursuant to National Instrument 51-102 Continuous Disclosure Obligations (NI 51-102). The seminar will look at relevant topics in continuous disclosure, including:

    • Overview of CD review process (including the most recent CSA CD review program report) and related refilings
    • Management’s Discussion and Analysis (MD&A) issues
    • Non-GAAP measures (e.g., proposed National Instrument 52-112)
    • Climate change update (e.g., CSA Staff Notice 51-354)
    • Mining disclosure issues
    • Cannabis update (e.g., CSA Staff Notice 51-357)
    • M&A matters (e.g., related party transactions)
    • Other key SME takeaways from Corporate Finance branch report
    • Reducing regulatory burden initiatives affecting continuous disclosure
    • Whistleblowing

    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 continuous disclosure documentation
    • To keep abreast of new topics
    • To be aware of common filing deficiencies so you can avoid them
    • To hear directly from OSC staff on best practices for working with the OSC on continuous disclosure issues
    • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

    Presentation Documents



  • OSC in the Community (North York)

    January 14, 2019 @ 6:00 PM - 9:00 PM

    OSC in the Community

    OSC in the Community (North York)

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions.

    Date: January 14, 2019
    Time: 6:00 PM - 9:00 PM
    Location: 5 Fairview Mall Drive, Rm. 478, Toronto (North York)
    Event Details:

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions.

  • OSC in the Community (Brampton)

    January 08, 2019 @ 10:05 AM - 11:05 AM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to the Women’s Probus Club of Brampton about fraud prevention and making informed investment decisions.

    Date: January 08, 2019
    Time: 10:05 AM - 11:05 AM
    Location: Century Gardens, 340 Vodden St. E., Brampton
    Event Details:

    OSC staff will be speaking to the Women’s Probus Club of Brampton about fraud prevention and making informed investment decisions.

  • 2018 CPA Audit Committees Conference

    December 06, 2018 @ 2:00 PM - 3:00 PM

    Other

    2018 CPA Audit Committees Conference

    Panel: Stakeholder Demands for Transparency: The Value of Ethics and Whistleblower Programs

    Date: December 06, 2018
    Time: 2:00 PM - 3:00 PM
    Location: 255 Front Street W, Toronto, ON, M5V 2W6
    Event Details:

    Panel: Stakeholder Demands for Transparency: The Value of Ethics and Whistleblower Programs

    Moderator: Sheila Smigarowski, Founder, Sheila Smigarowski Consulting and Coaching

    Panelists: Christa Wessel, Chief Operating Officer & General Counsel, Clearview Strategic Partners; Christine Tabbert, Deputy Director-Operations, Enforcement Branch, Ontario Securities Commission

    This session will focus on the following:

    • The importance of having an internal whistleblower program and how it can serve organizations in managing reputational risk, fraud detection and issues of misconduct,
    • The Ontario Securities Commission’s Whistleblower Program and the importance of whistleblowers as a valuable source of information,
    • Key elements of a well-designed Ethics and Whistleblower Program,
    • Role of the Audit Committee and its Chair within these programs,
    • What Audit Committee members expect to receive in terms of reporting on the operations and effectiveness of the program,
    • In the era of #MeToo, how can well designed Whistleblower Programs respond to this reputational risk facing all private and public sector organizations and how the Audit Committee can deal with harassment,
    • What Audit Committee members need to know about “whistleblowers”
    • Key trends and insights on Ethics and Whistleblower programs, and
    • Common pitfalls or gaps

     

  • Report of Exempt Distribution: How to complete it, when to file it, what to avoid, and what’s new

    December 06, 2018 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Report of Exempt Distribution: How to complete it, when to file it, what to avoid, and what’s new

    This seminar will review the report of exempt distribution (i.e. Form 45-106F1) from the perspectives of how to complete it, when to file it, what to avoid and what’s new.

    Date: December 06, 2018
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    This seminar will review the report of exempt distribution (i.e. Form 45-106F1) from the perspectives of how to complete it, when to file it, what to avoid and what’s new. We will discuss a number of topics, including:

    • Timing requirements (45-106F1)
    • Late fees
    • How to file
    • (NEW) Distributions outside Canada – The 72-503F
    • (NEW) Key changes to the 45-106F1
    • Save draft function / amendments
    • Activity fees
    • Offering memorandum (OM) exemption (s.2.9) / related requirements
    • Electronic filing portal (general submissions)
    • Common form compliance errors
    • Technical difficulties
    • Additional resources

    Who should attend:

    • Law clerks and filing agents of reporting issuers
    • General counsel of reporting issuers
    • Junior legal counsel and other advisors

    Why You Should Attend:

    • To understand securities regulatory timing and filing procedures
    • To be aware of common administrative errors so you can avoid them
    • To hear directly from OSC staff on best practices for engaging with staff on procedural and administrative issues

    Presentation Documents:

  • The Conference Board of Canada: Inclusion and Diversity Leadership Conference

    December 03, 2018 @ 10:15 AM - 11:45 AM

    Other

    The Conference Board of Canada: Inclusion and Diversity Leadership Conference

    Panel - Slow progress: Why Isn't Corporate Canada Doing Better on Diversity?

    Women's advancement in C-suite and Director roles is not moving fast enough. Supported by research findings, panellists will explore the barriers to moving the need on board and C-suite diversity.

    Date: December 03, 2018
    Time: 10:15 AM - 11:45 AM
    Location: Hotel X, 111 Princes’ Boulevard, Toronto, ON M6K 3C3
    Event Details:

    Panel - Slow progress: Why Isn't Corporate Canada Doing Better on Diversity?

    Women's advancement in C-suite and Director roles is not moving fast enough. Supported by research findings, panellists will explore the barriers to moving the need on board and C-suite diversity.

    This panel of leaders will share their thoughts on what approaches—ranging from research, dialogue, investor and employee advocacy and regulatory initiatives—are the most effective in advancing gender diversity. Panellists will conclude with a call to action on concrete steps needed to move diversity and inclusion forward.

    Moderator: Louisa Greco, Senior Advisor, McKinsey & Company, Inc.

    Panellists:

    • Maureen Jensen, Chair and Chief Executive Officer, Ontario Securities Commission
    • Ron Mock, President and Chief Executive Officer, Ontario Teachers' Pension Plan
    • David Pathe, Chairman, President and Chief Executive Officer, Sherritt

    Learn more

  • C.D. Howe Institute - Annual Benefactors' Lecture and Dinner with Maureen Jensen, Chair and Chief Executive Officer of the Ontario Securities Commission

    November 29, 2018 @ 5:30 PM - 8:30 PM

    Other

    C.D. Howe Institute - Annual Benefactors' Lecture and Dinner with Maureen Jensen, Chair and Chief Executive Officer of the Ontario Securities Commission

    As head of the Ontario Securities Commission, Maureen Jensen has a unique view into the unprecedented market evolution unfolding globally. Regulators are responding as new industries are being formed, new technology platforms are adopted, and demographics and investor expectations are shifting. Maureen will discuss the current trends and the need for a renewed collective effort to support financial stability and economic prosperity.

    Date: November 29, 2018
    Time: 5:30 PM - 8:30 PM
    Location: Delta Toronto, Kensington Ballroom , 75 Lower Simcoe Street Toronto, ON M5J 3A6
    Event Details:

    As head of the Ontario Securities Commission, Maureen Jensen has a unique view into the unprecedented market evolution unfolding globally. Regulators are responding as new industries are being formed, new technology platforms are adopted, and demographics and investor expectations are shifting. Maureen will discuss the current trends and the need for a renewed collective effort to support financial stability and economic prosperity.

    Learn more

  • OSC LaunchPad Information Day

    November 29, 2018 @ 1:00 PM -

    Other

    OSC LaunchPad Information Day

    The OSC LaunchPad team is opening its doors to the public to answer questions related to fintech.

    Date: November 29, 2018
    Time: 1:00 PM -
    Location: Ontario Securities Commission 17th Floor, Cadillac Building 20 Queen St. W. Toronto, ON M5H 3S8
    Event Details:

    The OSC LaunchPad team is opening its doors to the public to answer questions related to fintech.

    We welcome members of the community to come in, have a coffee, and chat about developments that may affect their business.

    Registration is free and is first come, first served. Please note that due to space constraints, and efforts to ensure representation from across the community, ONLY 1 registrant per firm will be invited to attend this session.

    Register
  • OSC in the Community (Scarborough)

    November 28, 2018 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

    Date: November 28, 2018
    Time: 10:00 AM - 11:00 AM
    Location: Gus Harris, 120 Town Haven, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

  • OSC in the Community (Fonthill)

    November 22, 2018 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Fonthill)

    OSC staff will be speaking to members of the Probus Club of Pelham about fraud prevention and making informed investment decisions.

    Date: November 22, 2018
    Time: 10:00 AM - 11:00 AM
    Location: Fonthill Legion, 141 Hwy 20 E., Fonthill
    Event Details:

    OSC staff will be speaking to members of the Probus Club of Pelham about fraud prevention and making informed investment decisions.

  • Registrant Outreach: Registration Applications and OSC’s Whistleblower Program (Session B: In-Person)

    November 22, 2018 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: Registration Applications and OSC’s Whistleblower Program (Session B: In-Person)

    The rules relating to the disclosure of information required by applications for individual registration and the ongoing disclosure obligation for registrants. The seminar will include a discussion of CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration, as well as cases arising since the publication of that notice.

    Date: November 22, 2018
    Time: 2:00 PM - 4:00 PM
    Location: 22nd Floor Training Room Ontario Securities Commission 20 Queen Street West Toronto, ON
    Event Details:

    Description:

    This seminar will provide an overview of:

    The rules relating to the disclosure of information required by applications for individual registration and the ongoing disclosure obligation for registrants. The seminar will include a discussion of CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration, as well as cases arising since the publication of that notice.

    • Best practices when completing registration applications (including other business activities) and sections of the Form 45-106F1 Report of Exempt Distributions filings as they relate to registrants.
    • The OSC’s Whistleblower Program and discussion of recent developments which may impact registrants.

    Who should attend: Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs).

    Benefits:

    • Enhanced understanding of Staff’s approach in cases where applicants or registrants may not have satisfied their disclosure obligations under Ontario securities law.
    • Additional guidance on how to correctly complete registration applications and Form 45-106F1 Report of Exempt Distributions.
    • Enhanced understanding of recent amendments to the Securities Act (Ontario) (the “Act”) and learning about findings from a recent desk review of registrants that focused on the anti-reprisal provisions of the Act.


    Documents:


    The webinar recording posted on the website has been modified from the original webinar broadcasted on November 20, 2018. Specifically modifications were made to the “Outside business activities and Form 33-109F5 Change of Registration Information” section of the webinar and the attached slides to provide further clarity.

  • Infonex Canadian Accounting & Reporting 2018 19th annual

    November 21, 2018 @ 2:15 PM - 3:00 PM

    Other

    Infonex Canadian Accounting & Reporting 2018 19th annual

    The OSC’s Whistleblower Program and its Implications for Market

    Date: November 21, 2018
    Time: 2:15 PM - 3:00 PM
    Location: Calgary, Alberta
    Event Details:

    The OSC’s Whistleblower Program and its Implications for Market

    Participants

    Shaifali Joshi-Clark, Senior Forensic Accountant, Ontario Securities
    Commission
  • OSC in the Community (Markham)

    November 21, 2018 @ 9:00 AM - 12:45 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be exhibiting and speaking at the Financial Education and Labour Market Forum. Attend this event to learn about fraud prevention and making informed investment decisions.

    Date: November 21, 2018
    Time: 9:00 AM - 12:45 PM
    Location: Welcome Centre Markham North, 8400 Woodbine Ave., Markham
    Event Details:

    OSC staff will be exhibiting and speaking at the Financial Education and Labour Market Forum. Attend this event to learn about fraud prevention and making informed investment decisions.

  • Registrant Outreach: Registration Applications and OSC’s Whistleblower Program (Session A: In-Webinar)

    November 20, 2018 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: Registration Applications and OSC’s Whistleblower Program (Session A: In-Webinar)

    The rules relating to the disclosure of information required by applications for individual registration and the ongoing disclosure obligation for registrants. The seminar will include a discussion of CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration, as well as cases arising since the publication of that notice.

    Date: November 20, 2018
    Time: 2:00 PM - 4:00 PM
    Location: Webinar
    Event Details:

    Description:

    This seminar will provide an overview of:

    The rules relating to the disclosure of information required by applications for individual registration and the ongoing disclosure obligation for registrants. The seminar will include a discussion of CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration, as well as cases arising since the publication of that notice.

    • Best practices when completing registration applications (including other business activities) and sections of the Form 45-106F1 Report of Exempt Distributions filings as they relate to registrants.
    • The OSC’s Whistleblower Program and discussion of recent developments which may impact registrants.

    Who should attend: Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs).

    Benefits:

    • Enhanced understanding of Staff’s approach in cases where applicants or registrants may not have satisfied their disclosure obligations under Ontario securities law.
    • Additional guidance on how to correctly complete registration applications and Form 45-106F1 Report of Exempt Distributions.
    • Enhanced understanding of recent amendments to the Securities Act (Ontario) (the “Act”) and learning about findings from a recent desk review of registrants that focused on the anti-reprisal provisions of the Act.


    Documents:


    The webinar recording posted on the website has been modified from the original webinar broadcasted on November 20, 2018. Specifically modifications were made to the “Outside business activities and Form 33-109F5 Change of Registration Information” section of the webinar and the attached slides to provide further clarity.

  • OSC in the Community (Teletownhall)

    November 14, 2018 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Teletownhall)

    The OSC’s telephone townhalls 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 OSC telephone townhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Learn how to spot some common scams and ask OSC experts your fraud-related questions. This telephone townhall is being held as part of Financial Literacy Month with special guests from the Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association of Canada (MFDA) and the Ombudsman for Banking Services and Investments (OBSI).

    Date: November 14, 2018
    Time: 6:30 PM - 7:30 PM
    Location: Telephone townhall
    Event Details:

    The OSC’s telephone townhalls 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 OSC telephone townhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Learn how to spot some common scams and ask OSC experts your fraud-related questions. This telephone townhall is being held as part of Financial Literacy Month with special guests from the Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association of Canada (MFDA) and the Ombudsman for Banking Services and Investments (OBSI).

    Register to participate in the telephone townhall 

  • OSC in the Community (Markham)

    November 12, 2018 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to students in the Seneca College Financial Services (EFS) Bridging Program about fraud prevention and making informed investment decisions.

    Date: November 12, 2018
    Time: 1:30 PM - 3:00 PM
    Location: 8 The Seneca Way, Markham
    Event Details:

    OSC staff will be speaking to students in the Seneca College Financial Services (EFS) Bridging Program about fraud prevention and making informed investment decisions.

  • OSC Dialogue 2018

    November 08, 2018

    Other

    OSC Dialogue 2018

    Join us at OSC Dialogue 2018 as business leaders, senior regulators and international policy experts examine the path forward amid growing uncertainty, evolving investor expectations and the proliferation of new product offerings and trading mechanisms, each shaping the markets of the future.

    Date: November 08, 2018
    Location: Four Seasons Hotel Toronto - 60 Yorkville Ave.
    Event Details:

    Join us at OSC Dialogue 2018 as business leaders, senior regulators and international policy experts examine the path forward amid growing uncertainty, evolving investor expectations and the proliferation of new product offerings and trading mechanisms, each shaping the markets of the future.

  • OSC in the Community (North York)

    November 08, 2018 @ 9:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (North York)

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions.

    Date: November 08, 2018
    Time: 9:00 AM - 12:00 PM
    Location: November 8, 2018
    Event Details:

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions.

  • OSC in the Community (Scarborough)

    November 07, 2018 @ 9:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be exhibiting at the BASSIC 2019 Safe Senior calendar launch. Drop by for your calendar and get free resources on fraud prevention and making informed investment decisions.

    Date: November 07, 2018
    Time: 9:30 AM - 12:00 PM
    Location: Birkdale Community Centre, 1299 Ellesmere Road, Toronto (Scarborough)
    Event Details:

    OSC staff will be exhibiting at the BASSIC 2019 Safe Senior calendar launch. Drop by for your calendar and get free resources on fraud prevention and making informed investment decisions.

  • OSC in the Community (Brampton)

    November 05, 2018 @ 12:30 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

    Date: November 05, 2018
    Time: 12:30 PM - 2:00 PM
    Location: 50 Sunny Meadow Blvd., Unit 108, Brampton
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

  • OSC in the Community (North York)

    November 03, 2018 @ 11:15 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (North York)

    OSC staff will be speaking to the Philippines Teachers Association of Canada about fraud prevention and making informed investment decisions.

    Date: November 03, 2018
    Time: 11:15 AM - 12:00 PM
    Location: North York Civic Centre, Rm. 3, Toronto (North York)
    Event Details:

    OSC staff will be speaking to the Philippines Teachers Association of Canada about fraud prevention and making informed investment decisions.

  • OSC in the Community (Markham)

    November 02, 2018 @ 9:00 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions.

    Date: November 02, 2018
    Time: 9:00 AM - 11:30 AM
    Location: Welcome Centre Markham South, 7220 Kennedy Road, Markham
    Event Details:

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions.

  • OSC in the Community (Mississauga)

    October 29, 2018 @ 10:15 AM - 2:15 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be exhibiting at the OACAO’s Annual Conference Aging Well.

    Date: October 29, 2018
    Time: 10:15 AM - 2:15 PM
    Location: Hilton Meadowvale, 6750 Mississauga Rd., Mississauga
    Event Details:

    OSC staff will be exhibiting at the OACAO’s Annual Conference Aging Well.

  • OSC in the Community (Scarborough)

    October 26, 2018 @ 10:00 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions.

    Date: October 26, 2018
    Time: 10:00 AM - 11:30 AM
    Location: YMCA, 3090 Kingston Road, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to newcomers about fraud prevention and making informed investment decisions.

  • OSC in the Community (Timmins)

    October 25, 2018 @ 11:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Timmins)

    OSC staff will be exhibiting and speaking at the Senior Expo. Drop by the OSC table to get resources or attend the presentation and learn about fraud prevention and making informed investment decisions.

    Date: October 25, 2018
    Time: 11:00 AM - 3:00 PM
    Location: 225 Fifth Ave., Science Village Lane, Timmins
    Event Details:

    OSC staff will be exhibiting and speaking at the Senior Expo. Drop by the OSC table to get resources or attend the presentation and learn about fraud prevention and making informed investment decisions.

  • OSC in the Community (Ottawa)

    October 24, 2018 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Ottawa)

    OSC staff will be speaking to Bell Pensioners Group about investment fraud prevention and making informed investment decisions.

    Date: October 24, 2018
    Time: 11:00 AM - 12:00 PM
    Location: Nepean Sportsplex, Salon A, 1701 Woodroffe Ave., Ottawa
    Event Details:

    OSC staff will be speaking to Bell Pensioners Group about investment fraud prevention and making informed investment decisions.

  • OSC in the Community (Ottawa)

    October 23, 2018 @ 9:00 AM - 1:00 PM

    OSC in the Community

    OSC in the Community (Ottawa)

    OSC staff will be exhibiting and speaking at the Seniors Information and Active Living Fair. Get free resources and learn about investment fraud prevention.

    Date: October 23, 2018
    Time: 9:00 AM - 1:00 PM
    Location: Gloucester 50+ Centre, 2020 Ogilvie Road, Ottawa
    Event Details:

    OSC staff will be exhibiting and speaking at the Seniors Information and Active Living Fair. Get free resources and learn about investment fraud prevention.

  • OSC in the Community (Brampton)

    October 22, 2018 @ 11:30 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

    Date: October 22, 2018
    Time: 11:30 AM - 12:30 PM
    Location: Punjabi Community Health Services, 16 John Street, Brampton
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions.

  • OSC in the Community (Burlington)

    October 18, 2018 @ 8:00 AM - 8:45 AM

    OSC in the Community

    OSC in the Community (Burlington)
    OSC staff will be speaking to the members of the Rotary Burlington North Club about fraud prevention, and making informed investment decisions.

    Date: October 18, 2018
    Time: 8:00 AM - 8:45 AM
    Location: Burlington Golf and Country Club, 422 North Shore Blvd. E., Burlington
    Event Details: OSC staff will be speaking to the members of the Rotary Burlington North Club about fraud prevention, and making informed investment decisions.
  • OSC in the Community (Scarborough)

    October 16, 2018 @ 6:00 PM - 7:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions

    Date: October 16, 2018
    Time: 6:00 PM - 7:00 PM
    Location: Tam O’Shanter Public School, 21 King Henry Blvd., Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and making informed investment decisions

  • OSC in the Community (Cobourg)

    October 12, 2018 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Cobourg)

    OSC staff will be exhibiting and speaking at the Cobourg Senior and Active Living Fair. Attend our Protect Your Money presentation to learn about common types of investment scams and the warning signs of fraud.

    Date: October 12, 2018
    Time: 10:00 AM - 3:00 PM
    Location: Cobourg Community Centre, 750 D’Arcy Street, Cobourg
    Event Details:

    OSC staff will be exhibiting and speaking at the Cobourg Senior and Active Living Fair. Attend our Protect Your Money presentation to learn about common types of investment scams and the warning signs of fraud.

  • OSC in the Community (Teletownhall)

    October 10, 2018 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Teletownhall)

    The OSC’s telephone townhalls 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 OSC telephone townhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Learn how to spot some common scams and ask OSC experts your fraud-related questions.

    Date: October 10, 2018
    Time: 6:30 PM - 7:30 PM
    Location: Telephone townhall
    Event Details:

    The OSC’s telephone townhalls 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 OSC telephone townhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Learn how to spot some common scams and ask OSC experts your fraud-related questions.

  • OSC in the Community (Toronto)

    October 09, 2018 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to the Caribbean Canadian Seniors Club about investment fraud prevention and where to find unbiased financial information.

    Date: October 09, 2018
    Time: 1:30 PM - 3:00 PM
    Location: Jamaican Canadian Association, 955 Arrow Road, Toronto (North York)
    Event Details:

    OSC staff will be speaking to the Caribbean Canadian Seniors Club about investment fraud prevention and where to find unbiased financial information.

  • Registrant Outreach: New Custody Rules and CRM2 Refresher (Session B: In-Person)

    October 09, 2018 @ 10:00 AM - 12:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: New Custody Rules and CRM2 Refresher (Session B: In-Person)

    This seminar will provide an overview of:

    • The new Custody Rules that have recently come into effect, focusing on the impact of these rules on registered firms and addressing certain frequently asked questions
    • The CRM2 rules, including highlights of our findings from our recent CRM2 reviews, and guidance and best practices on policies and procedures for preparing CRM2 reports

    Date: October 09, 2018
    Time: 10:00 AM - 12:00 PM
    Location: 22nd Floor Training Room, Ontario Securities Commission, 20 Queen Street West Toronto, ON
    Event Details:

    This seminar will provide an overview of:

    • The new Custody Rules that have recently come into effect, focusing on the impact of these rules on registered firms and addressing certain frequently asked questions
    • The CRM2 rules, including highlights of our findings from our recent CRM2 reviews, and guidance and best practices on policies and procedures for preparing CRM2 reports

    Who should attend:

    Registered representatives, ultimate designated persons, chief compliance officers, persons responsible for client reporting, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs).

    Benefits:
    • Enhance understanding of the recent changes to Custody Rules that are now in effect
    • Obtain a refresher on the CRM2 rules

    Documents:

  • OSC in the Community (Scarborough)

    October 05, 2018 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to members of St. Paul L’Amoreaux Centre about investment fraud prevention and what questions to ask before they invest.

    Date: October 05, 2018
    Time: 1:00 PM - 2:30 PM
    Location: 3333 Finch Avenue East, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to members of St. Paul L’Amoreaux Centre about investment fraud prevention and what questions to ask before they invest.

  • OSC in the Community (Milton)

    October 03, 2018 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Milton)

    OSC staff will be speaking to members of the Milton Seniors’ Activity Centre about investment fraud prevention and what questions to ask before they invest.

    Date: October 03, 2018
    Time: 1:00 PM - 2:30 PM
    Location: 500 Childs Drive, Milton
    Event Details:

    OSC staff will be speaking to members of the Milton Seniors’ Activity Centre about investment fraud prevention and what questions to ask before they invest.

  • Registrant Outreach: New Custody Rules and CRM2 Refresher (Session A: Webinar)

    October 02, 2018 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: New Custody Rules and CRM2 Refresher (Session A: Webinar)

    This seminar will provide an overview of:

    • The new Custody Rules that have recently come into effect, focusing on the impact of these rules on registered firms and addressing certain frequently asked questions
    • The CRM2 rules, including highlights of our findings from our recent CRM2 reviews, and guidance and best practices on policies and procedures for preparing CRM2 reports

    Date: October 02, 2018
    Time: 2:00 PM - 4:00 PM
    Location: 22nd Floor Training Room, Ontario Securities Commission, 20 Queen Street West, Toronto, ON
    Event Details:

    This seminar will provide an overview of:

    • The new Custody Rules that have recently come into effect, focusing on the impact of these rules on registered firms and addressing certain frequently asked questions
    • The CRM2 rules, including highlights of our findings from our recent CRM2 reviews, and guidance and best practices on policies and procedures for preparing CRM2 reports

    Who should attend:

    Registered representatives, ultimate designated persons, chief compliance officers, persons responsible for client reporting, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs).


    Benefits:

    • Enhance understanding of the recent changes to Custody Rules that are now in effect
    • Obtain a refresher on the CRM2 rules
       

    Documents:

  • OSC in the Community (Bowmanville)

    October 02, 2018 @ 1:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Bowmanville)

    OSC staff will be speaking to members of the Bowmanville Older Adults Association about investment fraud prevention and what questions to ask before they invest.

    Date: October 02, 2018
    Time: 1:00 PM - 2:30 PM
    Location: 26 Beech Street, Bowmanville
    Event Details:

    OSC staff will be speaking to members of the Bowmanville Older Adults Association about investment fraud prevention and what questions to ask before they invest.

  • OSC in the Community (Toronto)

    October 01, 2018 @ 11:00 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to community members about investment fraud prevention and where to get unbiased financial information.

    Date: October 01, 2018
    Time: 11:00 AM - 12:30 PM
    Location: Dixon Hall Neighborhood Services, 58 Sumach Street, Toronto
    Event Details:

    OSC staff will be speaking to community members about investment fraud prevention and where to get unbiased financial information.

  • The ONE Conference 2018

    October 01, 2018 @ 1:30 PM - 2:30 PM

    Other

    The ONE Conference 2018

    In recent years, the turbulent events of the global financial crisis have dramatically highlighted the importance of credible, high-quality financial reporting and auditing. And the issue of audit quality has been emerging rapidly, as constant changes from regulatory and standards-setting bodies to improve audit quality have become the norm.

    Date: October 01, 2018
    Time: 1:30 PM - 2:30 PM
    Location: 1650 Argyle St., Halifax, NS B3J 0E6
    Event Details:
    Moderator: Gord Beal, Vice President, Research, Guidance and Support, CPA Canada
    Panelists: Cameron McInnis, Chief Accountant, Ontario Securities Commission; Malcolm Gilmour, Vice President Inspections, Canadian Public Accountability Board; Blair Cook, Chief Financial Officer, Horizon Maritime

    What it means • Why it matters • How to get it

    They say a rose is a rose is a rose.

    But what about an external audit of your business? Unlike sugar, wheat, or coffee beans, audits are not a commodity — and they’re not created equal. They can differ in their quality.

    In recent years, the turbulent events of the global financial crisis have dramatically highlighted the importance of credible, high-quality financial reporting and auditing. And the issue of audit quality has been emerging rapidly, as constant changes from regulatory and standards-setting bodies to improve audit quality have become the norm.

    During this session we will explore what is audit quality and if it differs from quality audits. We will discuss who has the primary responsibility for quality audits - External Auditors, Management, Those Charged with Governance, Regulators or Users. We will discuss what are the challenges with audit quality and how to overcome these challenges? Lastly, we will discuss how to measure a quality audit.
     
  • 2018 IFIC Annual Leadership Conference

    September 27, 2018

    Other

    2018 IFIC Annual Leadership Conference

    IFIC’s Annual Leadership Conference brings together some of the best minds of the investment funds industry and beyond to expand your knowledge and challenge your thinking.

    Date: September 27, 2018
    Location: 11 King Street West, 4th Floor Toronto, Ontario M5H 4C7
    Event Details:

    IFIC’s Annual Leadership Conference brings together some of the best minds of the investment funds industry and beyond to expand your knowledge and challenge your thinking.

    • 10:15 AM - 11:15 AM Effective Disclosure: Limits and Possibilities - Doug Sarro, Senior Advisor, Research and Regulatory Innovation, Ontario Securities Commission
    • 1:20 PM - 2:20 PM Track One - Regulatory Update Part 1: The Latest Rules, Reforms and Recommendations - Raymond Chan, Acting Director, Investment Funds and Structured Products Branch, Ontario Securities Commission and Debra Foubert, Director, Compliance and Registrant Regulation Branch, Ontario Securities Commission
    • 2:45 PM - 3:45 PM Track One - Regulatory Update Part 2: Recent SRO Activity and What Lies Ahead - Felicia Tedesco, CPA, CA, Deputy Director, Operations, Compliance and Registrant Regulation Branch, Ontario Securities Commission
    • 2:45 PM - 3:45 PM Track Two - Meeting the Needs of Elderly Investors - Denise Morris, Manager, Policy, The Investor Office, Ontario Securities Commission

    View Full Agenda

  • 2018 ISDA Canada Conference

    September 21, 2018 @ 9:00 AM - 9:15 AM

    Other

    2018 ISDA Canada Conference

    An overview of the key elements of the OSC's whistleblower program, including eligibility, financial incentive and whistleblower protections

    Date: September 21, 2018
    Time: 9:00 AM - 9:15 AM
    Location: The Omni King Edward Hotel, Toronto
    Event Details: The Ontario Securities Commission's New Whistleblower Program

    The following will be covered in this session:

    An overview of the key elements of the OSC's whistleblower program, including eligibility, financial incentive and whistleblower protections Market participant preparedness: fostering a culture of compliance and encouraging internal reporting Shaifali Joshi-Clark, Senior Forensic Accountant, Enforcement Branch, Ontario Securities Commission

    Learn more https://www.isda.org/event/toronto/2018-isda-canada-conference-2018-09-21/
  • OSC in the Community (Markham)

    September 20, 2018 @ 5:00 PM - 6:00 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to the Markham Federation of Filipino Canadians about investment fraud prevention and what questions to ask before they invest.

    Date: September 20, 2018
    Time: 5:00 PM - 6:00 PM
    Location: Unit 11, 1151 Denison Street, Markham
    Event Details:

    OSC staff will be speaking to the Markham Federation of Filipino Canadians about investment fraud prevention and what questions to ask before they invest.

  • Roundtable on Derivatives Registration and Business Conduct Regimes

    September 20, 2018 @ 9:00 AM - 12:00 PM

    Other

    Roundtable on Derivatives Registration and Business Conduct Regimes

    Roundtable to discuss stakeholder input on the CSA notices Proposed National Instrument 93-102 Derivatives: Registration and Proposed Companion Policy 93-102 Derivatives: Registration and Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101 CP Derivatives: Business Conduct

    Date: September 20, 2018
    Time: 9:00 AM - 12:00 PM
    Location: The Globe and Mail Centre, located at 351 King Street East in Toronto, Ontario.
    Event Details:

    Roundtable to discuss stakeholder input on the CSA notices Proposed National Instrument 93-102 Derivatives: Registration and Proposed Companion Policy 93-102 Derivatives: Registration and Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101 CP Derivatives: Business Conduct

    The event will feature panel discussions on the major policy proposals outlined in the notices. 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.

    Transcript


    Time

    Topic

    Panellists

    8:30 – 9:00 a.m.

    Arrival/Check-in

    9:00 – 9:05 a.m.

    Introduction and Opening Remarks

    Maureen Jensen
    Chair & Chief Executive Officer,
    Ontario Securities Commission

    9:05 – 9:50 a.m.

    Topic 1: Business Conduct – Institutional and Retail Markets

    Moderator: Aaron Unterman
    Senior Legal Counsel, Derivatives,
    Ontario Securities Commission

    Jennifer Levin
    Manager, National Futures Association

    Allan Maclean-Howard
    Vice President, Asset Allocation & Risk Management, Signature Funds, CI Investments

    Greg O'Donohue
    Director & Senior Legal Counsel, Derivatives, Ontario Teachers' Pension Plan

    Nadeem Siddiq
    Senior Legal Counsel, Scotiabank

    9:50 – 10:35 a.m.

    Topic 2: Registration – Advisors, Dealers and Retail Markets

    Moderators: Alison Beer, Legal Counsel, Derivatives and Paul Hayward, Senior Legal Counsel, CRR, Ontario Securities Commission

    Larry Bates
    Member, Investor Advisory Panel

    Richard Corner
    Vice President & Chief Policy Advisor, Member Regulation, Investment Industry Regulatory Organization of Canada

    Melissa Ghislanzoni
    Association Legal Counsel,
    Portfolio Management Association of Canada

    Bob Wong
    CEO & CCO, OTT Financial Canada

    10:35 – 10:45 a.m.

    Refreshment Break

    10:45 – 11:55 a.m.

    Topic 3: Registration – Financial Institutions (Federally and Provincially Regulated)

    Moderator: Kevin Fine
    Director, Derivatives,
    Ontario Securities Commission

    Srijan Agrawal
    Director, RBC Capital Markets

    Lise-Estelle Brault
    Senior Director, Derivatives Oversight,
    Autorité des marchés financiers

    Mary Condon
    Associate Dean & Professor,
    Osgoode Hall Law School

    Waqaas Fahmawi
    Director & Assistant General Counsel,
    Bank of America

    11:55 – 12:00 p.m.

    Closing

    Kevin Fine
    Director, Derivatives,
    Ontario Securities Commission

  • OSC in the Community (Scarborough)

    September 19, 2018 @ 2:30 PM - 4:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to community members about investment fraud prevention and where to get unbiased financial information.

    Date: September 19, 2018
    Time: 2:30 PM - 4:00 PM
    Location: Shepherd Village, 3760 Sheppard Avenue East, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to community members about investment fraud prevention and where to get unbiased financial information.

  • OSC in the Community (Brampton)

    September 18, 2018 @ 11:00 AM -

    OSC in the Community

    OSC in the Community (Brampton)

    11:00am - 12:00pm and 2:00pm - 3:00pm

    OSC staff will be speaking to community members about investment fraud prevention.

    Date: September 18, 2018
    Time: 11:00 AM -
    Location: PCHS, 50 Sunny Meadow Blvd., Unit 108, Brampton
    Event Details:

    11:00am – 12:00pm and 2:00pm – 3:00pm

    OSC staff will be speaking to community members about investment fraud prevention.

  • OSC in the Community (Markham)

    September 17, 2018 @ 2:30 PM - 4:30 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to new Canadians about saving and investing and investment fraud prevention.

    Date: September 17, 2018
    Time: 2:30 PM - 4:30 PM
    Location: Welcome Centre Markham South, 7220 Kennedy Road, Unit 8, Markham
    Event Details:

    OSC staff will be speaking to new Canadians about saving and investing and investment fraud prevention.

  • OSC in the Community (Brampton)

    September 14, 2018 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to community members about investment fraud prevention.

    Date: September 14, 2018
    Time: 11:00 AM - 12:00 PM
    Location: PCHS, 50 Sunny Meadow Blvd., Unit 108, Brampton
    Event Details:

    OSC staff will be speaking to community members about investment fraud prevention.

  • OSC in the Community (Brampton)

    September 12, 2018 @ 12:30 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to community members about investment fraud prevention.

    Date: September 12, 2018
    Time: 12:30 PM - 2:00 PM
    Location: PCHS, 50 Sunny Meadow Blvd., Unit 108, Brampton
    Event Details:

    OSC staff will be speaking to community members about investment fraud prevention.

  • OSC in the Community (North York)

    September 08, 2018 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (North York)

    OSC staff will be speaking to community members about fraud prevention and where to get unbiased financial information.

    Date: September 08, 2018
    Time: 2:00 PM - 3:30 PM
    Location: North Toronto Baptist Church, 88 Finch Ave. W., Toronto (North York)
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and where to get unbiased financial information.

  • OSC in the Community (Brampton)

    September 05, 2018 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to the Brampton Probus Flowertown Club about investment fraud prevention and what questions to ask before they invest.

    Date: September 05, 2018
    Time: 10:00 AM - 11:00 AM
    Location: Century Gardens, 340 Vodden St. E., Brampton
    Event Details:

    OSC staff will be speaking to the Brampton Probus Flowertown Club about investment fraud prevention and what questions to ask before they invest.

  • OSC in the Community (Toronto)

    August 18, 2018 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to the University of Toronto Chinese Alumni Association about investment fraud prevention and what questions to ask before they invest.

    Date: August 18, 2018
    Time: 2:00 PM - 3:30 PM
    Location: Bahen Center for Information Technology, 40 St. George Street, Toronto
    Event Details:

    OSC staff will be speaking to the University of Toronto Chinese Alumni Association about investment fraud prevention and what questions to ask before they invest.

  • OSC in the Community (Scarborough)

    August 15, 2018 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking about investment fraud prevention to community members through the Health and Wellness program offered by Toronto Intergenerational Partnerships.

    Date: August 15, 2018
    Time: 10:00 AM - 11:00 AM
    Location: Gus Harris, 120 Town Haven, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking about investment fraud prevention to community members through the Health and Wellness program offered by Toronto Intergenerational Partnerships.

  • OSC in the Community (North York)

    August 13, 2018 @ 2:30 PM - 4:30 PM

    OSC in the Community

    OSC in the Community (North York)

    OSC staff will be speaking to new Canadians about money management and investment fraud prevention at NY Community House

    Date: August 13, 2018
    Time: 2:30 PM - 4:30 PM
    Location: 540 Finch Avenue W., Ste. 138, Toronto (North York)
    Event Details:

    OSC staff will be speaking to new Canadians about money management and investment fraud prevention at NY Community House

  • OSC in the Community (Webinar)

    August 02, 2018 @ 9:00 AM - 10:30 AM

    OSC in the Community

    OSC in the Community (Webinar)

    OSC staff will provide newcomers with unbiased financial information to help them make more informed financial decisions as part of the YMCA’s pre-arrival settlement program.

    Date: August 02, 2018
    Time: 9:00 AM - 10:30 AM
    Location: Webinar
    Event Details:

    OSC staff will provide newcomers with unbiased financial information to help them make more informed financial decisions as part of the YMCA’s pre-arrival settlement program.

  • OSC in the Community (Scarborough)

    July 27, 2018 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to the members of the Tamil Senior Centre about investment fraud prevention and how to make more informed investing decisions.

    Date: July 27, 2018
    Time: 10:00 AM - 11:00 AM
    Location: Burrows Hall Community Centre, 1081 Progress Avenue, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to the members of the Tamil Senior Centre about investment fraud prevention and how to make more informed investing decisions.

  • OSC in the Community (Brampton)

    July 23, 2018 @ 11:30 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to the Brampton Tamil Seniors Club about investment fraud prevention and how to make more informed investing decisions.

    Date: July 23, 2018
    Time: 11:30 AM - 12:30 PM
    Location: TBA
    Event Details:

    OSC staff will be speaking to the Brampton Tamil Seniors Club about investment fraud prevention and how to make more informed investing decisions.

  • OSC in the Community (Newmarket)

    July 19, 2018 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Newmarket)

    OSC staff will be speaking to the Maple Leaf Probus club about investment fraud prevention and working with an advisor.

    Date: July 19, 2018
    Time: 11:00 AM - 12:00 PM
    Location: Elizabeth Seton Parish, 17955 Leslie Street, Newmarket
    Event Details:

    OSC staff will be speaking to the Maple Leaf Probus club about investment fraud prevention and working with an advisor.

  • OSC in the Community (Mississauga)

    July 17, 2018 @ 11:00 AM - 11:40 AM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking to members of Indus Community Services about investment fraud prevention and how to make more informed investing decisions.

    Date: July 17, 2018
    Time: 11:00 AM - 11:40 AM
    Location: Indus Community Services, 3038 Hurontario Street, Ste. 307, Mississauga
    Event Details:

    OSC staff will be speaking to members of Indus Community Services about investment fraud prevention and how to make more informed investing decisions.

  • OSC LaunchPad Information Day

    June 27, 2018 @ 2:00 PM -

    Speech

    OSC LaunchPad Information Day

    The OSC LaunchPad team is opening its doors to the public to answer questions related to fintech.

    Date: June 27, 2018
    Time: 2:00 PM -
    Location: Ontario Securities Commission 17th Floor, Cadillac Building 20 Queen St. W. Toronto, ON M5H 3S8
    Event Details:

    The OSC LaunchPad team is opening its doors to the public to answer questions related to fintech.

    We welcome members of the community to come in, have a coffee, and chat about developments that may affect their business, including the Canadian Securities Administrators’ Regulatory Sandbox and staff notice on cryptocurrency offerings.

    Registration is free and is first come, first served. Please note that due to space constraints, and efforts to ensure representation from across the community, ONLY 1 registrant per firm will be invited to attend this session.

    Register

  • OSC in the Community (Markham)

    June 26, 2018 @ 9:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC will be exhibiting at the 2018 Seniors’ Day event together with York Regional Police and Markham Fire & Emergency Services. Drop by the OSC’s exhibit table to speak with OSC staff and receive free resources.

    Date: June 26, 2018
    Time: 9:00 AM - 3:00 PM
    Location: Aaniin Community Centre, 5665 14th Avenue, Markham
    Event Details:

    OSC will be exhibiting at the 2018 Seniors’ Day event together with York Regional Police and Markham Fire & Emergency Services. Drop by the OSC’s exhibit table to speak with OSC staff and receive free resources.

  • OSC in the Community (Geraldton)

    June 22, 2018 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Geraldton)

    OSC will be exhibiting and speaking at the Seniors Information and Active Living Fair hosted by Geraldton EPC. Drop by the OSC’s exhibit table or attend the OSC presentation to learn about investment fraud prevention.

    Date: June 22, 2018
    Time: 10:00 AM - 3:00 PM
    Location: Geraldton Community Centre, 200 Wardrope Avenue East, Geraldton
    Event Details:

    OSC will be exhibiting and speaking at the Seniors Information and Active Living Fair hosted by Geraldton EPC. Drop by the OSC’s exhibit table or attend the OSC presentation to learn about investment fraud prevention.

  • OSC in the Community (Ignace)

    June 20, 2018 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Ignace)

    OSC will be exhibiting and speaking at the Seniors Information and Active Living Fair hosted by the Ignace Silver Tops. Drop by the exhibit table or attend the OSC presentation to learn about investment fraud prevention.

    Date: June 20, 2018
    Time: 10:00 AM - 3:00 PM
    Location: Ignace Recreation Centre, 200 Beaver Street, Ignace
    Event Details:

    OSC will be exhibiting and speaking at the Seniors Information and Active Living Fair hosted by the Ignace Silver Tops. Drop by the exhibit table or attend the OSC presentation to learn about investment fraud prevention.

  • 2018 Lunch Panel Series: Navigating the Tides of Change - Panel 3: Blockchain & Cryptocurrency - Demystified

    June 19, 2018 @ 11:45 AM - 1:45 PM

    Speech

    2018 Lunch Panel Series: Navigating the Tides of Change - Panel 3: Blockchain & Cryptocurrency - Demystified

    Join Pat Chaukos at the National Club Tuesday, June 19, 2018 as she and other panelists discuss Navigating the Tides of Change, Cryptocurrency: Demystified, in this year’s Lunch Panel Series.

    Date: June 19, 2018
    Time: 11:45 AM - 1:45 PM
    Location: The National Club, 303 Bay St, Toronto, ON M5H 2R1
    Event Details:

    Join Pat Chaukos at the National Club Tuesday, June 19, 2018 as she and other panelists discuss Navigating the Tides of Change, Cryptocurrency: Demystified, in this year’s Lunch Panel Series.

    Learn More

  • Ontario Bar Association - Professional Development: Your Comprehensive Guide to Blockchain

    June 18, 2018 @ 10:05 AM - 10:30 AM

    Speech

    Ontario Bar Association - Professional Development: Your Comprehensive Guide to Blockchain

    Blockchain technology is making strides towards fundamentally changing the way we do business. Don’t get left behind!

    Date: June 18, 2018
    Time: 10:05 AM - 10:30 AM
    Location: Twenty Toronto Street Conferences and Events, 20 Toronto Street, 2nd Floor
    Event Details:

    Blockchain technology is making strides towards fundamentally changing the way we do business. Don’t get left behind! Ensure you are up to speed on how blockchain works, as well the opportunities, potential pitfalls and key legal challenges. Get the expertise you need to advise your clients with confidence in this evolving space.

    Panel: Capital Market Challenges: Blockchain and Initial Coin Offerings

    Panelists: Pat Chaukos, Deputy Director, OSC LaunchPad, Policy. Jason Saltzman, Gowling WLG

    Register

  • OSC in the Community (Toronto)

    June 15, 2018 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to newcomers at the Learning Disability Association about saving, investing and investment fraud prevention.

    Date: June 15, 2018
    Time: 1:30 PM - 2:30 PM
    Location: 121 Willowdale Ave., Ste. 203, Toronto
    Event Details: OSC staff will be speaking to newcomers at the Learning Disability Association about saving, investing and investment fraud prevention.
  • OSC in the Community (Teletownhall)

    June 14, 2018 @ 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 OSC teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Learn how to spot some common scams and ask OSC experts your fraud-related questions.

    Date: June 14, 2018
    Time: 6:30 PM - 7:30 PM
    Location: Teletownhall
    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 OSC teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Learn how to spot some common scams and ask OSC experts your fraud-related questions. To participate by phone or online, please register by June 14, 2018, 12:00pm.

  • OSC in the Community (Toronto)

    June 13, 2018 @ 10:30 AM - 2:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    10:30am – 11:30am; 1:00pm – 2:00pm

    OSC staff will be speaking to LINC students about saving, investing, and investment fraud prevention.

    Date: June 13, 2018
    Time: 10:30 AM - 2:00 PM
    Location: Lamp CHC, 3363 Bloor Street West, Toronto
    Event Details:

    10:30am – 11:30am; 1:00pm – 2:00pm

    OSC staff will be speaking to LINC students about saving, investing, and investment fraud prevention.

  • OSC in the Community (Richmond Hill)

    June 12, 2018 @ 11:00 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (Richmond Hill)

    OSC staff will be speaking to community members about investment fraud prevention and what questions to ask before you invest.

    Date: June 12, 2018
    Time: 11:00 AM - 12:30 PM
    Location: Mon Sheong, 11199 Yonge Street, Richmond Hill
    Event Details:

    OSC staff will be speaking to community members about investment fraud prevention and what questions to ask before you invest.

  • OSC in the Community (Markham)

    June 11, 2018 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking about investment fraud and where find unbiased investing resources to students of the Professional Excellence in Financial Services (EFS) Bridging Program at Seneca College.

    Date: June 11, 2018
    Time: 10:30 AM - 11:30 AM
    Location: Seneca College, 8 The Seneca Way, Markham
    Event Details:

    OSC staff will be speaking about investment fraud and where find unbiased investing resources to students of the Professional Excellence in Financial Services (EFS) Bridging Program at Seneca College.

  • OSC in the Community (Elliott Lake)

    June 08, 2018 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Elliott Lake)

    OSC staff will be speaking to community members about investment fraud prevention and the client-advisor relationship.

    Date: June 08, 2018
    Time: 10:30 AM - 11:30 AM
    Location: Civic Centre Theatre, 255 King's Hwy 108, Elliott Lake
    Event Details:

    OSC staff will be speaking to community members about investment fraud prevention and the client-advisor relationship.

  • Kat Szybiak and Tyler Fleming to speak at PMAC Montreal Compliance Forum

    June 07, 2018 @ 8:35 AM - 10:15 AM

    Speech

    Kat Szybiak and Tyler Fleming to speak at PMAC Montreal Compliance Forum

    The Montreal Regulatory & Compliance Forum will cover a variety of topics that address new developments, critical issues, and insights on how to sustain a successful compliance program.