Osc Issues List of 'Top Ten' Deficiencies of Limited Market Dealers.
Mondaq Business Briefing › Nbr. 2006, January 2006
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Summary
Ontario Securities Commission
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Osc Issues List of 'Top Ten' Deficiencies of Limited Market Dealers.
Introduction
The Ontario Securities Commission (the "OSC" or "Commission") recently published Staff Notice 11-758 - Review of Limited Market Dealers which summarizes the Commission's findings from a compliance review (the "Compliance Review") of a group of limited market dealers ("LMDs") undertaken in 2005. The objectives of the Compliance Review were to: (i) gain insight into the business operations of LMDs; (ii) assess the level of compliance by LMDs with securities laws; and (iii) identify any regulatory gaps. In June 2005, the OSC held meetings with a voluntary focus group comprised of representatives from a crosssection of L...See the full content of this document
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