In an effort to bolster compliance, the Ontario Securities Commission (OSC) is offering three new industry education sessions, dealing with registration, the upcoming Client Relationship Model (CRM2) requirements, and supervisory systems.

The OSC announced today that it has added three new sessions to its registrant outreach program, which will feature an overview of the latest changes to registration requirements; the upcoming tranche of the CRM2 requirements, which take effect in July 2015; and, a session focusing on the elements of an effective compliance system, including the necessary policies and procedures, and the roles of supervisory personnel, such as the chief compliance officer (CCO) and ultimate designated person (UDP).

The regulator reports that approximately 1,700 people went through these sorts of programs in 2014, both in-person and via webinar. And, it says that the feedback from those participants was “very positive”.

“The program continues to provide Ontario registrants with practical knowledge on compliance-related matters and gives them the opportunity to hear first-hand from OSC staff on issues impacting them,” it says.

Click here for seminar descriptions and registration details.