The Ontario Securities Commission published its Registration, Inspections and Examinations Division annual report for 2026, outlining supervisory developments affecting registered firms and individuals under its direct oversight. The report also provides information that may be relevant to firms overseen by the Canadian Investment Regulatory Organization and other market participants. The division issued guidance based on targeted reviews of Client Focused Reforms, digital engagement practices and cybersecurity controls. It also conducted its first examinations of regulated entities, continued risk based compliance reviews of selected Canadian Investment Regulatory Organization dealer members in coordination with that organization, and adopted artificial intelligence to support risk based supervision and regulatory oversight.
Ontario Securities Commission reports expanded examinations, targeted guidance and AI supported supervision
The Ontario Securities Commission’s 2026 supervisory report highlights guidance arising from reviews of Client Focused Reforms, digital engagement practices and cybersecurity controls. The regulator also began examinations of regulated entities, continued coordinated reviews of selected dealer members and adopted artificial intelligence to support risk based oversight.