Tag: OSC report

July 29, 2016 BY Valentina Kirilova

OSC publishes Corporate Finance Branch annual report

The Ontario Securities Commission (OSC) has published OSC Staff Notice 51-727 Corporate Finance Branch 2015-2016 Annual Report. This report provides key information to the individuals and entities the OSC regulates, as well as their advisors, to help them comply with regulatory obligations. Current issues and trends related to continuous disclosure, offerings and exemptive relief applications are…

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July 21, 2016 BY Valentina Kirilova

OSC's summary report for dealers, advisers and investment fund managers is out

The Ontario Securities Commission (OSC) has published OSC Staff Notice 33-747 Annual Summary Report for Dealers, Advisers and Investment Fund Managers. The report describes initiatives undertaken by the OSC’s Compliance and Registrant Regulation Branch in the 2015-2016 fiscal year, including registration and compliance activities, policy initiatives and new programs. Debra Foubert, Director of Compliance and Registrant…

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