Registered firms have ongoing obligations under securities legislation to inform the Ontario Securities
Commission (OSC) of certain changes to a firm or a registered individual’s information. Failure to
notify the OSC within 10 calendar days of most of these changes can lead to a $100 late fee per day up
to a maximum of $5,000 per year, going back two years ($10,000).
Click the pdf icon to access our bulletin summarizing these changes. >>