The Ontario Securities Commission has published a list of frequently asked questions to aid portfolio advisors and fund managers in the successful completion of risk assessment questionnaires.

The questionnaire is designed to help the OSC gather information from market participants for the OSC’s risk assessment model for advisors and fund managers.

The information will help the regulator determine which market participants to review, how frequently they should be reviewed and what subject matters to focus on.

Completion of the questionnaire is being requested for all registered advisors and fund managers. All information provided in it will be treated as strictly confidential.

The FAQ is posted to the OSC’s site. It focuses on areas that may be problematic and attempts to offer clarification.