WebSep 29, 2014 · The OSC yesterday published a staff notice to provide guidance on the circumstances in which certain exemptions from the dealer registration requirement under the Commodity Futures Act are available to market participants.. Specifically, the notice provides OSC staff's view on when foreign dealers and other market participants may … WebFeb 2, 2024 · OSC Staff Notice 33-754 – Compliance and Registrant Regulation Branch – Summary Report for Dealers, Advisers and Investment Fund Managers; Notice of General Order – Ontario Instrument 45-507 Self-Certified Investor Prospectus Exemption (Interim Class Order) ... OSC Staff Notice 51-734 Corporate Finance Branch 2024 Annual Report;
OSC LaunchPad – Annual Summary Report - Securities - Canada
WebDec 5, 2007 · Introduction . On November 9, 2007 the Ontario Securities Commission (the "OSC") issued Staff Notice 33-729 - Marketing Practices of Investment Counsel/Portfolio Managers (the "Staff Notice") 1 detailing the results of a focused review conducted of the marketing practices of certain firms registered as advisers in the … WebApr 1, 2024 · OSC warns that CTPs have only a few weeks to contact the OSC to discuss how to ensure compliance with Ontario securities law— or risk enforcement steps. About; ... More recently, the CSA issued CSA Staff Notice 21-327 to provide guidance on factors the CSA considers when determining whether securities legislation applies to a CTP. forgot two factor authentication
Staff Notices - Canadian Institute of Mining, Metallurgy and …
WebSep 25, 2024 · The Ontario Securities Commission released OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers on August 23, 2024 (Staff Notice).. The Staff Notice included, at Part 1.3, a review of the recent activities of the OSC LaunchPad. The LaunchPad is actively engaged with novel fintech … WebDec 3, 2007 · Canada December 3 2007 Ontario Securities Commission (OSC) Staff Notice 33-729 Marketing practices of Investment Counsel/Portfolio Managers was published after the OSC Compliance team... WebJul 12, 2024 · The Ontario Securities Commission (OSC) has today published OSC Staff Notice 33-748 Annual Summary Report for Dealers, Advisers and Investment Fund … difference between declaration and definition