The Ontario Securities Commission (the OSC)
announced today its series of Registrant Outreach Programs for 2014. These
Programs are a series of free educational seminars to
registrants and other industry participants to help them understand
their regulatory requirements.
Participants can attend in person or access the programs via
webinar. Below are the scheduled program topics for 2014 which will
be held between 2:00 p.m. to 4:00 p.m. at the offices of the OSC in
This seminar will provide an overview of the registration
process, including the use of the National Registration
Database (NRD). The OSC will also describe the
various registration forms required under National Instrument
33-109 Registration Information and common issues that
have been noted in their completion. There will also be a
discussion of current issues that may impact a firm's
registration application and the implications of late or deficient
OSC Staff from the exempt market dealer
(EMD) team will discuss key issues relating to EMD
operations and the associated regulatory concerns. There will also
be discussion of common EMD deficiencies noted during compliance
reviews and ongoing OSC initiatives that impact EMDs.
OSC Staff from the portfolio manager team will discuss key
issues relating to advisers and the associated regulatory
concerns. There will also be discussion of common adviser
deficiencies noted during compliance reviews and ongoing OSC
initiatives that impact advisers.
OSC Staff from the investment fund manager
(IFM) team will discuss common deficiencies
noted during IFM compliance reviews and/or recent sweeps and
provide guidance in key areas. Updates on branch initiatives that
impact IFMs will also be provided. The Investment Funds
branch will provide an update on the status of ongoing policy
initiatives affecting investment funds.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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Under the Income Tax Act, the Employment Insurance Act, and the Excise Tax Act, a director of a corporation is jointly and severally liable for a corporation's failure to deduct and remit source deductions or GST.
Under the Income Tax Act, the Employment Insurance Act, the Canada Pension Plan Act and the Excise Tax Act, a director of a corporation is jointly and severally liable for a corporation's failure to deduct and remit source deductions.
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