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The Canadian Securities Administrators (CSA), which includes the Ontario Securities Commission (OSC), today published two notices concerning investor protection initiatives.
The first requests public comment on detailed reforms (Client-Focused Reforms) to obligations of registered firms and individuals. The proposals include addressing conflicts of interest in the best interest of the client, putting clients' interests first when making a suitability determination, and providing clients with greater clarity on what they should expect from their registrants.
The second notice sets out the CSA’s intended policy decision and next steps with respect to mutual fund embedded commissions.
Learn more
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Explainer for Investors
We sat down with Debra Foubert, Director of the OSC's Compliance & Registrant Regulation Branch, and Chantal Mainville, Senior Legal Counsel in the OSC's Investment Funds & Structured Products Branch, to talk about the two recent CSA publications concerning investor protection initiatives. Read the full interview
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Digital Tokens
Some companies are raising money by offering digital tokens – a form of cryptoasset that often allows you to access a product or service that a company offers or plans to offer in the future – to the public.
Despite the popularity of digital tokens, they are not guaranteed to increase in value, often do not give you any rights as a purchaser and likely do not represent an ownership stake in the company. Learn more
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Compound Interest Calculator
You can grow the money you save by investing it to earn a return. You can make your money grow faster if you also invest the money you earn (your return) along with the money you started out with. This is called compounding. Find out how your investment could grow over time with our Compound Interest Calculator.
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Scam Spotter Tool
Are you considering a new investment? Our new Scam Spotter Tool can help you learn how to spot the warning signs of investment fraud.
Visit GetSmarterAboutMoney.ca for more popular tools and calculators to help you with your finances.
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"Pump and Dump" Schemes
In a typical pump and dump scheme, you are approached and offered an incredible deal on a stock often described as a once-in-a-lifetime investment. There is an artificial market that drives the price of the stock up, only to have the value of the stock fall dramatically soon after. You could lose all your money. Learn more
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Tracking Your Investments
In the midst of summer planning, it's easy to forget about keeping track of your investment returns and remembering to regularly review your investment statements. Tracking your progress against your goals can help you make any necessary adjustments along the way. Here are 3 reasons to keep track of your investments
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Proposed Changes to Post-trade Transparency Requirements for Government and Corporate Debt Securities
Comments due: August 29, 2018
The CSA published for comment CSA Staff Notice 21-323 Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Proposed Amendments to National Instrument 21-101 Marketplace Operation and Related Companion Policy.
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Proposed Changes to Derivatives Registration Rule
Comments due: September 17, 2018
The CSA published for comment Proposed National Instrument 93-102 Derivatives: Registration and Proposed Companion Policy 93-102 Derivatives: Registration. The Proposed Instrument establishes a new regime for the registration of dealers and advisers transacting in the over-the-counter derivatives markets in Canada.
Learn more
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Proposed Client-Focused Reforms
Comments due: October 19, 2018
The CSA published for comment proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations (Client-Focused Reforms).
Learn more
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Always know the 10 most recent OSC investor warnings and alerts by bookmarking this Fact Card or embedding it on your website or blog.
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Bristol Consulting FX
Bristol Consulting FX, also doing business as bristolconsultingfx[DOT]com is not registered in Ontario to engage in the business of trading in securities. Learn more
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Caution urged for Canadians investing with crypto-asset trading platforms
The Canadian Securities Administrators (CSA) is urging Canadians to be cautious when considering buying crypto assets through trading platforms. Learn more
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BTCReal, BitSerial, Hypercube Ventures LP, CabinCoin OÜ, and BaapPay Inc.
The OSC is warning investors about BTCReal, BitSerial, Hypercube Ventures LP, CabinCoin OÜ, and BaapPay Inc. These firms appear to be involved in schemes that target Ontario investors and encourage them to trade or invest in cryptocurrencies. Learn more
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Metainvesting
Metainvesting also operating as Meta Investing and doing business as metainvesting[DOT]com is not registered in Ontario to engage in the business of trading in securities. Learn more
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B.M.O. Ltd.
B.M.O. Ltd. is not registered in Ontario, Canada to engage in the business of trading in securities. Learn more
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BitConnect, BitConnect Coin and the BCC Exchange
BitConnect manages the websites bitconnect[DOT]co and bitconnectcoin[DOT]co, where it claims to operate an online exchange platform known as the BCC Exchange. BitConnect, the BCC Exchange and representatives of BitConnect are not registered in Ontario to solicit investments or provide advice on investing in, buying or selling securities. Learn more
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IOSCO Investor Alerts
Stay informed about the latest international investor warnings and alerts by visiting the International Organization of Securities Commissions (IOSCO) Investor Alerts Portal. |
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OSC in the Community
OSC staff are taking the Commission's regulatory mandate from Bay Street to Main Street with seminars on preventing fraud and making informed investment decisions.
- Geraldton - June 22, 2018
- Markham - June 26, 2018
- Mississauga - July 17, 2018
- Newmarket - July 19, 2018
- Toronto (Scarborough) - July 20, 2018
- Brampton - July 23, 2018
- Toronto (Scarborough) - July 27, 2018
- Toronto (Scarborough) - August 5, 2018
Learn More
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