A friendly reminder to registrants of the requirement under Part 12 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations to file the firm’s annual audited financial statements with the firm’s principal securities regulator. Firms that have a year end of December 31, 2023 are required to file their annual financial information with their principal securities regulator no later than March 30, 2024. As March 30th falls on a weekend this year, the due date is Monday, April 1, 2024.

Late filing fees may apply if this deadline is missed. The filing should include the firm’s audited annual financial statements for the December 31, 2023, year-end, a completed Form 31-103F1 Calculation of Excess Working Capital, and if applicable for investment fund managers, a completed Form 31-103F4 Net Asset Value Adjustments. If the Ontario Securities Commission is your principal regulator, you can complete the filings using the following link.

March 28, 2024