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...
Oct 31, 2022 | Regulatory Compliance
A friendly reminder that registered firms in Ontario and foreign firms that rely on certain exemptions from the registration requirements are required to pay annual capital markets fees in Ontario for 2022. The fee forms used to calculate these capital market...
Nov 30, 2021 | Regulatory Compliance
As we noted in last month’s bulletin, Form 13-502F4 – Capital Markets Participation Fee Calculation is due to be filed with the OSC by registrants no later than December 1, 2021. This requirement applies to firms in Ontario registered under the Securities Act,...
Oct 29, 2021 | Regulatory Compliance
Form 13-502F4 – Capital Markets Participation Fee Calculation is due to be filed with the OSC no later than December 1, 2021. This requirement applies to firms in Ontario registered under the Securities Act or firms registered under both the Securities Act and the...
Sep 30, 2020 | Investment Funds, News, Regulatory Compliance
On September 14, staff of the Compliance and Registrant Regulation (CRR) Branch at the Ontario Securities Commission (OSC) published their Annual Summary Report for Dealers, Advisers and Investment Fund Managers (Report). The OSC encourages registrants to use the...
