As we mentioned in our February Bulletin, registrants can expect to receive a risk assessment questionnaire (RAQ) from the Ontario Securities Commission (OSC) on April 18. The OSC uses the information collected from these biennial questionnaires as part of its risk-based supervision program. The resulting risk-ranking of firms is one of the OSC’s main tools to decide which firms to audit.

Click the link to access our bulletin summarizing these recent developments. >> AUM Law Special Bulletin – The RAQ is Back – April 2018