The OSC wants you to complete the 2016 Risk Assessment Questionnaire, which gathers comprehensive information about registrants’ business operations for the purposes of risk ranking registrants and selecting firms for compliance reviews.
Registrants must complete the questionnaire by Wednesday, June 29, 2016. Responses must be provided online through the link in the email sent to registrants today.
In addition to the link to the interactive questionnaire, registrants received a:
· FAQ and User Guide,
· PDF version of the questionnaire for reference,
· list of OSC staff to contact with questions, and
· information about upcoming Registrant Outreach sessions on completing the questionnaire.
Investment fund managers who manage non-prospectus qualified funds also received a spreadsheet to complete and return to the OSC.
Registrants active as at March 31, 2016 who did not receive the survey should contact ComplianceSurvey@osc.gov.on.ca as soon as possible.
Registrants are encouraged to attend the OSC’s May 31st in-person Registrant Outreach session or May 30th webinar on completing the questionnaire. Additional details are available on the OSC’s website.
The OSC last issued the Risk Assessment Questionnaire in 2014. The questionnaire is sent to portfolio managers, investment fund managers, exempt market dealers, restricted portfolio managers and restricted dealers registered in Ontario.