OSC Staff Notice 33-731 - 2008 Compliance Team Annual Report

Posted on September 8, 2008

The OSC Compliance team has published Staff Notice 33-731, its report for the 2008 fiscal year (April 1, 2007 to March 31, 2008), which includes a summary of the following:

  • The results of the OSC’s review of investment counsel portfolio managers, investment fund managers and limited market dealers (collectively, “market participants”), including the 10 most common deficiencies among portfolio managers, the three most significant deficiencies of each market participant and suggested practices;
  • OSC staff notices published during the 2008 fiscal year;
  • Proposed rules published by the OSC and how they could affect the business operations of market participants; and
  • How the change to IFRS affects market participants in preparing financial statements.
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