OSC Capital Markets Participation Fees

Delivered by e-mail

November 16, 2015

This e-mail is being sent to firms registered in Ontario, to firms relying on an exemption from registration in Ontario (including the firms’ agents for service) and to subscribers of the OSC’s Registrant Outreach program.

Following the conclusion of the Registrant Outreach sessions on the Participation Fee Calculation held on September 15, 2015 (webinar) and September 17, 2015 (in-person), the webinar replay and presentation slide deck are now available through the OSC website.

Please note the following important dates for all firms:
December 01 – Deadline to file participation fee calculation (including unregistered investment fund managers)
December 31 – Deadline to pay participation fees (including unregistered investment fund managers)

Late fees will apply for forms and participation fees submitted after the due dates.

Please note: all firms must use revenues from their financial year ending in 2015 to calculate their 2015 participation fees. This may require some firms with late financial year ends to estimate revenues when completing their participation fee calculation.

For further information, please use the following references:

  1. OSC Rule 13-502 Fees
  2. OSC Rule 13-503 (Commodity Futures Act) Fees
  3. Participation Fees Calculation webinar and presentation slide deck
  4. Link to access the participation fee calculations (Form 13-502F4, Form 13-502F5, Form 13-503F1 and Form 13-503F2)

If you have any questions, please contact us by calling 1-877-785-1555 or 416-593-8314 or e-mailing [email protected].