Regulatory Alerts2026-05-14
Added · Updated
OSC RIE 2026-2027 Examination Priorities
The Registration, Inspections and Examinations Division of the Ontario Securities Commission outlines key areas of focus for compliance examinations over the 2026-2027 fiscal year. The division will continue to target high-impact and high-risk firms identified through the Risk Assessment Questionnaire and conduct a thematic sweep on marketing practices with Canadian Securities Administrators partners. Additionally, the division will jointly examine a number of firms regulated by the Canadian Investment Regulatory Organization. The division is also exploring the use of technology, including artificial intelligence, to enhance examination processes and improve efficiency.
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