TORONTO, Oct. 7, 2026 /CNW/ -- The Ontario Securities Commission (OSC) has published its Registration, Inspections and Examinations (RIE) Division annual report for 2026. 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:

• Published guidance informed by targeted reviews of Client Focused Reforms, digital engagement practices and cybersecurity controls, strengthening industry outreach and regulatory expectations.
  
  
• Launched the division's first examinations of regulated entities and continued risk-based compliance reviews of selected CIRO dealer members in coordination with CIRO.
  
  
• Advanced operational effectiveness through process improvements and the responsible adoption of AI to support risk-based supervision and regulatory oversight.

"Evolving markets require an equally adaptive approach to oversight." said Matthew Onyeaju, Senior Vice President, RIE, at the OSC. "This year, we strengthened our supervisory toolkit through targeted reviews, greater engagement with industry and the thoughtful adoption of technology, all while keeping investor protection at the centre of our work."

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 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 company 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