All about OSC’s 2018 risk assessment questionnaire

The Ontario Securities Commission is gathering information about the business operations of its registrants through its 2018 risk assessment questionnaire. This type of assessment was last done in 2016.

The commission, which uses a risk-based approach to oversee and monitor its registrants, says in a release that collecting this type of data supports “oversight activities and evidence-based decision making.”

The questionnaire, sent to registrants via email, must be completed by May 30. Registrants should have also received a FAQ and user guide, list of OSC staff to contact with questions, and information about outreach sessions.

The OSC says that investment fund managers overseeing non-prospectus qualified funds also received a prospectus-exempt fund form that must be completed by June 30.

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The staff of Advisor.ca have been covering news for financial advisors since 1998.