Start to finish: getting through an OSC compliance review (Session B: In-Person)

This seminar will provide a description of the OSC compliance review process which is one of the main tools we use to monitor registrants. This will include a discussion on the types of reviews that we perform, the common deficiencies noted and the various ways that compliance review findings are handled.

Who should attend:

Most registrants appoint a contact person during a compliance review, usually the Chief Compliance Officer. Individuals who would be responsible for this role and who have a good understanding of the firm’s operations and policies and procedures should attend.

Benefits:

• Understanding of the OSC’s compliance review process
• Hear from OSC staff on common deficiencies identified during compliance reviews
• Understand the regulatory actions the OSC may take in circumstances where significant regulatory weaknesses are identified

Presentation slides:

Slides: Start to finish: Getting through an OSC compliance review