Staff of the Compliance and Registrant Regulation Branch of the Ontario Securities Commission is pleased to announce a new educational seminar as part of its Registrant Outreach program for 2020. The Registrant Outreach program was launched in 2013 and its mission is to promote strong proactive compliance practices by opening the lines of communication between the OSC and Chief Compliance Officers, as well as other senior officers of registrants.
The new seminar, taking place in March, will provide an overview of key compliance requirements and expectations for exempt market dealers (EMDs). The seminar is available to attend in-person or via webinar.
As an additional resource, Staff would also like to remind registrants of our Topical Guide for Registrants which is designed to assist registrants and other stakeholders to locate topical guidance regarding compliance and registrant regulation matters.
For more information, contact RegistrantOutreach@osc.gov.on.ca
SOURCE : PCMA