The Registration, Inspections and Examinations Division of the Ontario Securities Commission sets out its 2026-2027 Examination Priorities

TORONTO - Today, the Registration, Inspections and Examinations Division (RIE) of the Ontario Securities Commission (OSC) published its 2026-27 Examination Priorities (the 2026 Examination Priorities), which outline key areas of focus for compliance examinations over the coming year and reflect RIE's risk-based approach to oversight.

The 2026 Examination Priorities are guided by a number of external and internal sources, including RIE's ongoing oversight activities, horizon scanning, consultation across OSC divisions, collaboration with our regulatory partners, market developments, and engagement with registrants and other stakeholders.

Some key highlights for the year ahead include RIE's continued focus on high impact and high-risk firms that are identified through the Risk Assessment Questionnaire. RIE will also conduct a thematic sweep on marketing practices with its Canadian Securities Administrators partners. Additionally, RIE will work jointly with the Canadian Investment Regulatory Organization (CIRO) and conduct examinations on a number of CIRO firms.

"RIE's 2026 examination priorities continue to provide greater transparency to our stakeholders on areas of focus for the upcoming fiscal, as well as promoting proactive compliance from our registrants", said Matthew Onyeaju, Senior Vice President, RIE. "We aim to promote strong compliance practices, enhance awareness of regulatory obligations, and support confidence in Ontario's capital markets."

In response to changing market dynamics, RIE is exploring the use of technology, including artificial intelligence, to enhance examination processes and improve efficiency while maintaining robust regulatory judgment so that non-compliance identified through examinations can be addressed appropriately.

While the 2026 Examination Priorities highlight key areas of planned focus, they are not exhaustive. RIE will remain responsive to new and emerging risks, evolving products and services, market events, and investor concerns as they arise.

More information, including resources to help registrants prepare for an examination, is available on the OSC website.

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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