Email Blast – OSC Staff Notice 33-756 – Summary Report for Dealers, Advisers and Investment Fund Managers

The Ontario Securities Commission (OSC) today published OSC Staff Notice 33-756 – Summary Report for Dealers, Advisers and Investment Fund Managers (Summary Report). The Summary Report describes the work conducted by the OSC’s Registration, Inspections and Examinations Division, formerly Compliance and Registrant Regulation Branch, during the 2023-2024 fiscal year and discusses important matters impacting registration, outcomes from compliance reviews, recent conduct matters and other ongoing initiatives impacting registrants.

Information provided in the Summary Report is meant to assist registrants with meeting their ongoing regulatory requirements. Firms are encouraged to use the Summary Report as a self-assessment tool to strengthen their systems of compliance, internal controls and supervision.

The Summary Report will be published in the OSC Bulletin next week. Any questions regarding the report can be addressed to: 
 

Lisa Piebalgs
Senior Accountant
Registration, Inspections and Examinations Division
(416) 593-8147
[email protected]

Eugenie Chung
Senior Accountant
Registration, Inspections and Examinations Division
(647) 281-9753
[email protected]