OSC publishes the RIE Division 2025 Annual Report

TORONTO, July 24, 2025 /CNW/ - The Ontario Securities Commission (OSC) has published its Registration, Inspections and Examinations (RIE) Division annual report for 2025. While this report focuses primarily on registered firms and individuals directly overseen by the OSC, firms directly overseen by CIRO and other market participants are encouraged to review the report for information and guidance that may also be relevant to them.

The report discusses important matters impacting registration, outcomes from compliance reviews and ongoing initiatives impacting market participants.

In addition to key achievements on core operational activities, the division accomplished the following:

• surveying the sales environment at certain bank-owned mutual fund dealers in collaboration with the OSC's Behavioral Insights team,
• the second phase of Client Focused Reforms sweeps, focusing on KYC, KYP and suitability determinations,
• digital engagement practices review of online dealers, advisers and crypto asset trading platforms, and
• reaching several significant settlement agreements through our Registrant Conduct Team.

"This was the year of change for RIE, as we orient ourselves towards the future as a modern, agile regulator committed to upholding compliance in the marketplace. One element that hasn't changed is our focus on assisting firms in meeting their regulatory requirements." said Matthew Onyeaju, Senior Vice President, RIE, at the OSC. "The publication of our annual report provides staff the opportunity to share guidance in an effort to assist firms in establishing a strong compliance framework."

The RIE Division is responsible for the registration and ongoing supervision of firms and individuals who are in the business of trading in, or advising on, securities or commodity futures and firms that manage investment funds in Ontario. The release of the RIE Division 2025 annual report comes after RIE's examination priorities were announced earlier this fiscal year.

The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. Investors are urged to check the registration of any persons or companies offering an investment opportunity and to review the OSC investor materials available at https://www.osc.ca.

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SOURCE Ontario Securities Commission