OSC Annual Update

OSC Annual Update


Hosted By: Private Wealth Management Committee


If you're audited by the OSC, what will they find...

  • Are your KYC, KYP and suitability practices in line with the OSC's regulatory framework?
  • Have you addressed the inherent risks present in referral arrangements?
  • Have you provided accurate and complete responses to the Risk Assessment Questionnaire?

Are you familiar with the Client-Focused Reforms

  • What do you need to know for 2020 and beyond?

Come and hear (before your next audit) what the OSC thinks!

Topics Include

  • Overview of the 2019 Summary Report for Dealers, Advisors and investment fund Managers (OSC Staff Notice 33-750)
  • OSC staff will provide a high-level overview of their 2019 summary report for registrants, with a focus on various key issues relating to advisers (portfolio managers) and associated regulatory concerns.  There will also be a discussion of the regulatory obligations and expectations of firms and best practices that were observed at portfolio management firms.
  • Overview of the OSC's Client Focused Reforms
  • OSC staff will provide a high-level overview of the final amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations--Reforms to Enhance the Client-Registrant Relationship (Client-Focused Reforms) that were published on October 3, 2019

Learning Outcomes

  • Gain awareness of the key deficiencies associated with portfolio managers and develop best practices to address them.
  • Learn more about the amendments to the OSC's client-focused reforms and how they impact conflicts of interest and suitability determinations.

Who Should Attend?
Advising representatives, chief compliance officers, ultimate designated persons of portfolio manager firms as well as individuals responsible for the collection of KYC information and those performing suitability reviews on clients' investments.


  • When

  • Thursday, January 16, 2020
    12:00 PM - 2:00 PM
    Eastern Time

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