Summary Report for Dealers, Advisers and Investment Fund Managers

The Ontario Securities Commission (OSC) today published OSC Staff Notice 33-755 – Summary Report for Dealers, Advisers and Investment Fund Managers . The Summary Report describes the work conducted by the OSC’s Compliance and Registrant Regulation Branch (CRR) during the 2022-2023 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 is available in a downloadable PDF and will be published in the OSC Bulletin on August 3, 2023. Any questions regarding the report can be addressed to:

Lisa Piebalgs
Senior Accountant
Compliance and Registrant Regulation
(416) 593-8147
[email protected]

Eugenie Chung
Senior Accountant
Compliance and Registrant Regulation
(416) 597-7223
[email protected]