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Registrant series: Portfolio managers

Registrant series: Portfolio managers

Date and Time:

September 14, 2017            

2:00 p.m. – 4:00 p.m.

Location for In-person Session:

22nd Floor Training Room

Ontario Securities Commission

20 Queen Street West

Toronto, ON


This seminar will focus on several key topics for portfolio managers (PMs) that were highlighted in our 2017 Annual Summary Report for Dealers, Advisers and IFMs (OSC Staff Notice 33-748). The topics that will be discussed are as follows:

  • Providing advisory services to “senior” clients,
  • Preliminary findings from our sweep review of PMs with a large percentage of “senior clients” and discussion of some best practices for dealing with “senior” clients,
  • Findings from compliance reviews of online advisers, and discussion of regulatory obligations and best practices for PMs with this business model, and
  • Findings from our reviews of “one-person” PM firms, along with guidance on compliance and regulatory obligations as highlighted in CSA Staff Notice 31-350.

It will also include an overview of the OSC Investor Office’s work on issues related to senior investors. 

Who should Attend:

Advising representatives, ultimate designated persons, chief compliance officers, and legal counsel of registrants.


  • Learn about challenges of servicing an increasingly ageing investor demographic.
  • Gain insight into what to include in policies and procedures for dealing with “senior” clients.
  • Learn what is expected of PMs who operate as online advisers.
  • Enhance understanding of compliance obligations for “one-person”  PM firms, including best practices for developing a business succession plan.