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BULLETIN #0725-C
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Ken Woodard

Director, Communications & Membership Services

(416) 943-4602

kwoodard@mfda.ca

BULLETIN #0725-C

July 12, 2017

Compliance

For Distribution to Relevant Parties within your Firm

OSC Staff Notice 33-748 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers

On July 11, 2017, the OSC published OSC Staff Notice 33-748 – Annual Summary Report for Dealers, Advisers and Investment Fund Managers.

Part 2 of the Report, addresses the registration of firms and individuals by providing an update on the OSC’s registration initiatives, and by setting out current trends in deficiencies and acceptable practices.

Members and Approved Persons are encouraged to review OSC Staff Notice 33-748 and are reminded that the provincial/territorial securities regulatory authorities are responsible for the registration of MFDA Members and Approved Persons under securities legislation.

To view OSC Staff Notice 33-748, please go to:

http://www.osc.gov.on.ca/documents/en/Securities-Category3/20170711_sn_33-748_annual-rpt-dealers-advisers.pdf

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