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, 2021 | Regulatory Compliance
We would like to remind our clients of a few items to consider with respect to their NRD filing obligations, so that filings are made (and approved) as quickly as possible. When filing a new individual registration on Form 33-109F4 – Registration of Individuals and...
