On October 27, 2014, the OSC launched a “Topical Guide for Registrants”, a new online tool developed by OSC staff that allows registrants to search for and access OSC registration and compliance related information by subject matter area.  The guide is intended to be the main comprehensive source for OSC and CSA guidance on current initiatives, to enhance communication between the OSC and registrants and to assist registrants with maintaining effective compliance systems.  The guide references a number of documents, including:

  • OSC Annual Summary Reports for Dealers, Advisers and Investment Fund Managers;
  • OSC and CSA Staff Notices, such as guidance on know-your-client, know-your-product and suitability obligations; and
  • Companion Policies to NI 31-103 Registration Requirements and NI 33-109 Registration Information Requirements.