Aug 30, 2024 | Investment Funds, Regulatory Compliance
This year, the annual filings for Form 13-502F4 Capital Markets Participation Fee Calculation are due by November 1, 2024. The form must be completed by firms registered under either or both the Securities Act (Ontario) and the Commodity Futures Act (Ontario), as well...
Dec 21, 2023 | Investment Funds, Regulatory Compliance
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...
Nov 30, 2023 | Investment Funds, Regulatory Compliance
It is never too early to think about filing exempt trade reports for investment fund issuers that file on an annual basis. Investment funds that have relied on specified prospectus exemptions under National Instrument 45-106 Prospectus Exemptions, being the accredited...
Oct 31, 2023 | Investment Funds, Regulatory Compliance
As per our reminder last month, if you are a firm registered in Ontario under the Securities Act or the Commodity Futures Act, or relying on international exemptions from the registration requirements, be sure to file your 2023 fee forms and pay the applicable capital...
Sep 28, 2023 | Investment Funds, Regulatory Compliance
Registrants in Ontario should have already received an email directly from the Ontario Securities Commission (OSC) reminding them of the changes in the deadlines to file 2023 Fee Forms and pay applicable capital markets participation fees. Along with all firms...
