OSC releases annual compliance team report

Posted on September 25, 2009

The Ontario Securities Commission (OSC) today released its 2009 Compliance Team Annual Report, which summarizes the team's activities for fiscal 2009. The report outlines: (i) the compliance team's role; (ii) the team's response to recent market turmoil; (iii) general compliance initiatives; (iv) deficiencies found in the team's review of portfolio managers and limited market dealers; (v) the outcome of the team's reviews; (vi) the recent registration reform project; and (vii) how the move to IFRS may affect market participants.

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