If you haven’t yet turned your mind to your annual exempt trade reports for investment fund issuers, now is the time. As noted in last month’s bulletin, investment funds relying on specified prospectus exemptions under National Instrument 45-106 Prospectus Exemptions must file by no later than January 30, 2024. The introduction of SEDAR+ this year means that even more time is required to properly complete all the forms and calculate the filing fees. We would be pleased to help you with this process – please contact us as soon as possible if you anticipate requiring assistance.

In addition, for firms registered in Ontario under the Securities Act or the Commodity Futures Act, or relying on exemptions from registration, your capital market participation fees are due January 2, 2024.

December 21, 2023