Registrant Series: Completing the Risk Assessment Questionnaire (Session B: In-person)

OSC Registrant Outreach Seminar Past Event
May 03, 2018
02:00 pm  -  04:00 pm
22nd Floor Training Room Ontario Securities Commission 20 Queen Street West Toronto, ON

Description:

This seminar will assist registrants in completing the 2018 Risk Assessment Questionnaire (RAQ). The RAQ is a useful tool in identifying high risk areas of a registrant’s business and assisting CRR staff in executing its risk-based approach to compliance field reviews. The seminar will highlight the key changes in the 2018 RAQ, touch on frequently asked questions and walk participants through areas of the RAQ which have been challenging for registrants in the past.

Who should attend:

Individuals who will be involved in the completion of the RAQ for their registrant firm.

Benefits:

Understand the purpose of the RAQ, staff’s expectations for completing the RAQ and make the completion process more effective and efficient for your firm.
 

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