Ontario Securities Commission

News you don't want to miss! Our signature annual Dialogue event returns in-person on April 24, 2025, at the Fairmont Royal York. Save the date for an engaging conference where we convene business leaders, investors, senior regulators, and international policy experts to explore emerging issues and trends, as well as discuss timely topics in securities regulation. Watch for the full agenda and speaker announcements in the new year. #OSCDialogue

La CVMO a récemment lancé un nouveau formulaire d’admission permettant aux investisseurs, aux émetteurs, aux inscrits et aux autres intervenants de soumettre des demandes de renseignements, des plaintes et des conseils à la CVMO. Ce nouveau formulaire aidera l’InfoCentre de la CVMO à recueillir des renseignements et à évaluer plus efficacement les demandes de renseignements et les plaintes, à améliorer les délais de réponse et à permettre à la CVMO d’agir de fa?on plus décisive sur la base des renseignements fournis. Initialement con?u en tenant compte de l’expérience des investisseurs, le nouveau formulaire profitera à tous les intervenants en créant un processus clair pour les aider à fournir des détails pertinents qui aideront la CVMO à vérifier l’objet et la légitimité du contact et à éviter les retards dans le traitement de la demande. Pour plus d’informations sur l’InfoCentre et pour accéder au formulaire d’admission, visitez le site Web de la CVMO : https://ow.ly/4eXN50UgbWm

The OSC recently launched a new intake form for investors, issuers, registrants, and other stakeholders to submit inquiries, complaints, and tips to the OSC. This new form will help the OSC Contact Centre collect information and more effectively assess inquiries and complaints, improve response times, and enable the OSC to act more decisively on the information provided. Initially developed with the investor experience in mind, the new form will benefit all stakeholders, by creating a clear process to help them provide relevant details that will help the OSC in verifying the purpose and legitimacy of the contact and prevent delays in processing the inquiry. For more information on the Contact Centre and to access the intake form, visit the OSC website: https://ow.ly/Mzo050UgbRG

?? Join us this Wednesday, Nov 27th, in Toronto to hear?Raymond Chan, CPA, CA, CFA, Senior Vice President of the?Investment Management Division,?Ontario Securities Commission?discuss “How Regulations are Impacting?#ETFs?and Investors"?at our 6th?ETFGI Global ETFs Insights Summits?-?#Canada?at?Borden Ladner Gervais LLP (BLG)'s office from 8.45am - 4.45pm.?#RegisterNow?https://bit.ly/42jsIRc ? Why attend:? ?? Free Registration:?For CFA members, buy-side institutional investors, and financial advisors. ? ?? CPD Credits:?Earn educational credits. ? ?? On-Demand Access:?All sessions will be recorded and accessible after the event. ? ?? Industry?Leaders:?Engage with ETF sponsors, exchanges, broker-dealers, institutional investors, regulators, and more.? Explore the full agenda and register at: https://bit.ly/4bu7Mv8 Upcoming ETFGI Global ETFs Insights Summits:? 6th Annual - Europe, Middle East & Africa 2025 (in London) 6th Annual - Middle East 2025 (Location tbc) 6th Annual - Latin America 2025 (in Mexico City) 6th Annual - Asia Pacific 2025 (in Hong Kong) 6th Annual - United States 2025 (in New York) 7th Annual - Canada 2025 (in Toronto) ? For any questions, please contact [email protected] or [email protected].? ? #ETFs #ETPs #ETF

Des organismes de réglementation annoncent un examen coordonné des pratiques de vente au sein des succursales bancaires : https://ow.ly/8Pii50UfW6M La Commission des valeurs mobilières de l’Ontario (CVMO) et l’Organisme canadien de réglementation des investissements (CIRO / OCRI) ont annoncé un examen coordonné des pratiques de vente au sein des succursales des banques canadiennes. L’examen fait suite à un rapport public faisant état d’un préjudice potentiel pour les investisseurs en raison de pratiques alléguées de vente sous pression liées aux fonds communs de placement dans certaines banques canadiennes.

Regulators announce coordinated review into bank branch sales practices: https://ow.ly/PXp450UfVQp The OSC and CIRO / OCRI announced a coordinated review into the sales practices within Canadian bank branches. The review follows a public report of potential investor harm due to alleged high-pressure sales practices for mutual funds at some Canadian banks.?

Don't miss this opportunity to learn about the latest trends in early-stage capital raising, deepen your understanding of the #OSCTestLab initiatives and network with fellow legal professionals advising small businesses, startups and investors. Register at: https://lnkd.in/g99jKUZB. Note that this is an in-person event in downtown Toronto. ???

Last week, Jo-Anne Matear, Head of Sustainable Finance at the OSC spoke on a webinar panel with Bruce Marchand, Interim Chair of the Canadian Sustainability Standards Board (CSSB), about climate-related disclosure standards. The panel was moderated by Tyson Dyck and Glen Johnson, Partners at Torys LLP. The panel discussed the CSSB’s work in finalizing its climate-related disclosure standards, the OSC’s considerations on climate-related disclosures, and key findings from Torys’ forthcoming study on the climate-related disclosures of the S&P/TSX Composite Index.? ? “As a securities regulator, we have a key role to play in bringing decision-useful information to investors – but we need to do so in a thoughtful manner that is appropriate for our market,” said Jo-Anne. #OSCSpotlight

Capital Markets Tribunal hosts policy forum: https://ow.ly/g8Rg50UeZt4 The Capital Markets Tribunal announces that it recently hosted a policy forum that featured leading experts on emerging issues in the capital markets, representing diverse points of view.

Dans le cadre du Mois de la littératie financière, la CVMO lance un nouveau cours pour l’Académie d’investissement : https://ow.ly/hMPc50UcPMm L’Académie d’investissement est une série de cours interactifs gratuits qui permettent d’acquérir des connaissances sur l’argent et l’investissement. Le nouveau cours comprend les sujets suivants : l’élaboration d’un plan d’investissement, l’investissement autonome, le fonctionnement de l’investissement ESG, l’investissement en actions et les cryptomonnaies. #MLF2024 #ArgentEnTête