OSC offers additional educational seminars

By Staff | June 25, 2014 | Last updated on June 25, 2014
1 min read

The OSC is adding two sessions to help Ontario registrants strengthen their compliance practices.

The program will feature an overview of the Ombudsman for Banking Services and Investments (OBSI) disputes process, since all registered dealers and advisers must join OBSI by August 2. The session will feature representatives from both OBSI and the OSC outlining what registrants can expect from the new system.

Read: Prove you know your clients

The OSC will also hold a session on calculating participation fees in accordance with OSC Rule 13-502, prior to the December 1, 2014 participation fee filing deadline.

Read: Supreme Court says act professionally, or else

In 2014, about 1,000 people registered for OSC education sessions, either in-person or via webinar. The program gives advisors practical knowledge of compliance-related matters and the opportunity to hear first-hand from OSC staff.

Read: 10 tips for surviving compliance reviews

To register, visit the Calendar of Events section of the registrant outreach page of the OSC’s website.

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The staff of Advisor.ca have been covering news for financial advisors since 1998.