Record-Keeping Requirements for Ontario Fund Managers and Sponsors
Record-keeping is a core compliance consideration for Ontario private fund managers and fund sponsors. This article explains the NI 31-103 books-and-records framework, the documentation issuers should retain to support prospectus exemption reliance under NI 45-106, what the OSC typically examines during compliance reviews, and practical approaches to digital retention, outsourcing, and cross-border storage.