Portfolio manager client file documentation (OSC)

Answers are general operational information only — not legal, tax, regulatory, clinical, privacy, immigration, or professional advice. Requirements vary by matter, client, and regulator.

Frequently asked questions

Does the custodian portal satisfy OSC file requirements?

Custodian onboarding covers account-centric forms. Holistic planning files still need firm-controlled organization for tax, insurance, estate, and meeting evidence.

What meeting evidence belongs in the file?

Many firms keep written or voice-summarized meeting notes tied to KYC updates and advice discussions. Requirements depend on firm policy and current guidance.

Is this legal advice?

No. OSC obligations depend on your registration and firm policies. Consult qualified compliance counsel.

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