Registrant Outreach: Registration Applications and OSC’s Whistleblower Program (Session A: In-Webinar)
Description:
This seminar will provide an overview of:
The rules relating to the disclosure of information required by applications for individual registration and the ongoing disclosure obligation for registrants. The seminar will include a discussion of CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration, as well as cases arising since the publication of that notice.
- Best practices when completing registration applications (including other business activities) and sections of the Form 45-106F1 Report of Exempt Distributions filings as they relate to registrants.
- The OSC’s Whistleblower Program and discussion of recent developments which may impact registrants.
Who should attend: Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs).
Benefits:
- Enhanced understanding of Staff’s approach in cases where applicants or registrants may not have satisfied their disclosure obligations under Ontario securities law.
- Additional guidance on how to correctly complete registration applications and Form 45-106F1 Report of Exempt Distributions.
- Enhanced understanding of recent amendments to the Securities Act (Ontario) (the “Act”) and learning about findings from a recent desk review of registrants that focused on the anti-reprisal provisions of the Act.
Documents:
- Webinar: Registration Applications and OSC’s Whistleblower Program
- Slides: Registration Applications and OSC’s Whistleblower Program
The webinar recording posted on the website has been modified from the original webinar broadcasted on November 20, 2018. Specifically modifications were made to the “Outside business activities and Form 33-109F5 Change of Registration Information” section of the webinar and the attached slides to provide further clarity.
