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News and Publications : Regulatory Updates

OSC SURVEY - PROPOSED OUTREACH PROGRAM

February-10-13  
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OSC’S COMPLIANCE AND REGISTRANT REGULATION BRANCH (CRR) SURVEY PROPOSED OUTREACH PROGRAM

The Ontario Securities Commission’s (OSC) Compliance and Registrant Regulation Branch has prepared a survey for registrants to help develop a comprehensive OSC outreach program that will allow registrants to have better and timely access to information relevant to their business.

The OSC seeks your input to help it assess which outreach strategies are most effective and to identify the areas where guidance or educational programs would be most relevant and meaningful to registered firms and those who advise registered firms.

Your answers will help the OSC design a more effective outreach program for registrants, including exempt market dealers.

Please return a scanned copy by email to: info@emdacanada.com or mail it to:
Exempt Market Dealers Association of Canada, First Canadian Place
100 King Street West, Suite 5700, Toronto, ON, M5X 1C7 by February 28, 2013.

The EMDA will forward all copies received to the OSC.

Please download the survey HERE.

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