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OSC Innovation Office Survey Invitation – KYC, KYP, Suitability Survey
OSC Innovation Office | Jonathan Yeung | Jun 9, 2021
The Office of Economic Growth and Innovation (Innovation Office) is a new branch at the Ontario Securities Commission (OSC) dedicated to accelerating innovation, bolstering capital formation, and reducing regulatory burden in Ontario’s capital markets. They help innovative businesses understand securities laws and strive to make the OSC a more innovative and efficient regulator.
The Innovation Office is publishing a survey to collect experiences and views on the use of regulatory technology (RegTech) solutions to satisfy the Know-Your Product (KYP), Know-Your-Client (KYC) and suitability obligations in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.
See: Ontario moving ahead with expanded mandate for OSC
The survey is open from June 7th – 25th. We appreciate your response. The OSC Innovation Office invites you to participate in a short 8–10-minute survey to share your experiences and views on the use of technology (e.g., RegTech) solutions to satisfy the Know-Your Product (KYP), Know-Your-Client (KYC) and suitability obligations in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.
You will be asked a few questions at the beginning of the survey to make sure that you are eligible to respond.
By completing the survey, you will be helping the OSC Innovation Office understand current experiences and views to inform modernizing regulation as well as design a potential test theme for a new Ontario-specific regulatory testing environment.
Please submit your response by June 25, 2021.
Your answers will be completely anonymous and analyzed along with responses obtained from other registrants, solution providers and individual investors. If you are not the primary respondent of this survey, we request you to share this survey with relevant contacts at the firm that you represent and across your business network.
We appreciate your time.
Thanks and regards,
Jonathan Yeung
Senior Business Advisor, OSC Innovation Office
JYEUNG@osc.gov.on.ca
https://www.linkedin.com/in/jonathanyeung/
The National Crowdfunding & Fintech Association (NCFA Canada) is a financial innovation ecosystem that provides education, market intelligence, industry stewardship, networking and funding opportunities and services to thousands of community members and works closely with industry, government, partners and affiliates to create a vibrant and innovative fintech and funding industry in Canada. Decentralized and distributed, NCFA is engaged with global stakeholders and helps incubate projects and investment in fintech, alternative finance, crowdfunding, peer-to-peer finance, payments, digital assets and tokens, blockchain, cryptocurrency, regtech, and insurtech sectors. Join Canada's Fintech & Funding Community today FREE! Or become a contributing member and get perks. For more information, please visit: www.ncfacanada.org
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