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As discussed earlier in this edition, the Ontario Securities Commission’s RIE Division has identified marketing practices as an examination priority in OSC Staff Notice 33-761 – 2026 Examination Priorities for the Registration, Inspections and Examinations Division. In other words, the OSC appears to be preparing for another compliance-focused review, and this time its route will run through marketing practices. The review may encompass digital content, print materials, interview clips, disclosures, due diligence and oversight practices, as well as the OSC’s current areas of focus: social media and finfluencers. Even if the regulator’s review is limited in scope, regulatory examinations can identify unexpected issues, legacy practices and previously overlooked materials. Accordingly, before the regulator arrives, registered firms may wish to take the opportunity to review and refine their marketing practices.
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