OSC Announces 2014 Outreach Programs

dreamstime_xs_31185250_WebinarSeminar_ExtraSmallThe Ontario Securities Commission (the OSC) announced today its series of Registrant Outreach Programs for 2014. These Programs are a series of free educational seminars to registrants and other industry participants to help them understand their regulatory requirements.

Participants can attend in person or access the programs via webinar. Below are the scheduled program topics for 2014 which will be held between 2:00 p.m. to 4:00 p.m. at the offices of the OSC in Toronto, Ontario.

A copy of the OSC news release is available here.

February 2014

Topic Overview of the   registration process
Session A: Webinar February   19, 2014
Session B: In-person February   20, 2014
Description This  seminar will provide an overview of the registration process, including the  use of the National Registration Database (NRD). The OSC will also describe the various registration forms required under National Instrument 33-109 Registration Information and common issues that have been noted in their completion. There will also be a discussion of current issues that may impact a firm’s registration application and the implications of late or deficient registration filings.

April 2014

Topic Registrant   series – Exempt market dealers
Session A: Webinar April 22,   2014
Session B: In-person April 24,   2014
Description OSC   Staff from the exempt market dealer (EMD) team will discuss key issues relating to EMD operations and the associated regulatory concerns. There will also be discussion of common EMD deficiencies noted during compliance reviews and ongoing OSC initiatives that impact EMDs.

May 2014

Topic Registrant   series – Portfolio managers
Session A: Webinar May 20,   2014
Session B: In-person May 22,   2014
Description OSC Staff from the portfolio manager team will discuss key issues relating to  advisers and the associated regulatory concerns. There will also be   discussion of common adviser deficiencies noted during compliance reviews and ongoing OSC initiatives that impact advisers.

June 2014

Topic Registrant   series – Investment fund managers
Session A: Webinar June 24,   2014
Session B: In-person June 26,   2014
Description OSC Staff from the investment fund manager (IFM)  team will discuss common deficiencies noted during IFM compliance reviews and/or recent sweeps and provide guidance in key areas. Updates on branch initiatives that impact IFMs will also be provided. The Investment Funds   branch will provide an update on the status of ongoing policy initiatives   affecting investment funds.

 

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