33-312 - The CSA STP Readiness Assessment Survey Report is now available on the OSC Website [CSA Staff Notice - Rescinded]
| Published Date: | 2004-11-05 |
|---|---|
| Effective Date: | 2004-11-05 |
| Rescinded Date: | 2013-02-21 |
The Survey was available online from June 14 to July 12, 2004. The CSA asked investment dealers; mutual fund dealers; investment counsels and/or portfolio managers; limited market dealers; mutual fund managers; discount brokers (Quebec registrant category); and unrestricted brokers (Quebec registrant category) to complete the Survey. We have received 529 responses. The CSA has tabulated the results and has posted the CSA STP Readiness Assessment Survey Report (Survey Report) on the OSC website.
To view the Survey Report in English or French, please visit the OSC website at www.osc.gov.on.ca.
We thank all Firms who have taken the time to complete the voluntary Survey.
For more information on the STP initiative, please visit the OSC website at www.osc.gov.on.ca and the Canadian Capital Markets Association (CCMA) website at www.ccma-acmc.ca.
For further information regarding the Survey Report, please contact:
Emily Sutlic
Legal Counsel, Market Regulation
Capital Markets Branch
Ontario Securities Commission
Phone: 416-593-2362
Fax: 416-595-8940
e-mail: esutlic@osc.gov.on.ca
Veronica Armstrong
Senior Legal Counsel
British Columbia Securities Commission
Phone: (604) 899-6738
Fax: (604) 899-6814
e-mail: varmstrong@bcsc.bc.ca
Patricia Leeson
Legal Counsel
Alberta Securities Commission
Phone: 403-297-5222
Fax: 403-297-6156
e-mail: patricia.leeson@seccom.ab.ca
Serge Boisvert
Analyste en réglementation
Service des politiques et de la réglementation
Autorité des marchés financiers
tél.: 514-940-2199, poste 2404
téléc.: 514-873-7455
e-mail: serge.boisvert@lautorite.qc.ca
November 5, 2004