On June 25 the Ontario Securities Commission (OSC) announced that it would be adding two new sessions to its Registrant Outreach program. The program is designed to help Ontario securities registrants improve their compliance systems. Sessions can be attended in person or online.
At the session in October, representatives from the Ombudsman for Banking Services and Investments (OBSI) will describe the organization, the complaints handling process, and other relevant information that dealers and advisers should be aware of as new members of OBSI. The webinar will take place on October 7, and the in-person session will be held October 9 at the OSC's training room in Toronto.
In November, OSC staff will discuss key issues and common errors related to the calculation and filing of participation fees. There will also be discussion of the findings from the 2013 desk review of participation fees calculations and a discussion on the proposed changes to OSC Rule 13-502 on fees. The webinar will be on November 4, and the in-person session will take place on November 6 in Toronto.
Those interested in attending or who want more detailed information can visit the Calendar of Events section of the Registrant Outreach page of the OSC website.