The Registration, Inspections and Examinations Division (“RIE”) of the Ontario Securities Commission published its 2025 Annual Report (“Report”) earlier this year, outlining key regulatory oversight activities conducted during the 2024-2025 fiscal year and highlighting compliance obligations.
The RIE is responsible for registering and supervising firms and individuals engaged in trading or advising on securities or commodity futures, as well as firms that manage investment funds in Ontario. The RIE also conducts compliance examinations of certain regulated market participants in Ontario, including oversight of the Canadian Investment Regulatory Organization.
This article highlights some of the more salient deficiencies identified in the Report and provides an overview of ongoing initiatives of the RIE. Registrants are encouraged to review the Report in its entirety to ensure that their firms are compliant.
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