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The OSC’s annual summary report for dealers, advisors and fund managers outlines the commission’s latest regulatory and compliance efforts.

“We encourage registrants to read our notice and use it as a self-assessment tool,” says Debra Foubert, director of compliance and registrant regulation at the OSC.

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The OSC oversees 66,836 people and 1,071 firms, including exempt market dealers, scholarship plan dealers, investment fund managers and portfolio managers. This year, in order to better prepare new registrants, the OSC launched a new pre-registration review process, to help registrants understand and meet their compliance obligations from the outset.

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Originally published on Advisor.ca

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