Requirement to deliver documents electronically to the Ontario Securities Commission (Effective February 19, 2014)

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February 11, 2014

Requirement to deliver documents electronically to the Ontario Securities Commission (Effective February 19, 2014)

Effective February 19, 2014, OSC Rule 11-501 Electronic Delivery of Documents to the Ontario Securities Commission (OSC Rule 11-501) requires certain documents identified under Ontario’s securities rules to be delivered electronically through the OSC’s filing portal page. The new requirements include documents associated with forms, notices and other materials required under Ontario's securities rules that are not already filed through the National Registration Database (NRD).

A complete list of these documents can be found in Appendix A to OSC Rule 11-501. As a result, registered firms and exempt international firms must deliver the forms and documents using the methods outlined below.

Electronic forms only:

Documents listed in this section are available as web-based electronic forms only. For documents required to be delivered to the OSC, you are required to electronically complete and submit the document. The links to the electronic forms on the OSC’s web filing portal can be can be accessed here.

Pre-filings or waiver applications
Applications for exemptive relief and notice filings (which includes notices under sections 11.9 and 11.10 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103)
Forms 13-502F4, Form 13-502F5, Form 13-503F1, Form 13-503F2 Capital Markets Participation Fee Calculation and Adjustment for Registrant Firms, Unregistered Exempt International Firms and firms registered under the Commodity Futures Act
Form 31-103F1 Calculation of Excess Working Capital
Annual financial statements and interim financial information (if applicable)
Net asset value adjustments (for investment fund managers only, if applicable)
Notice to the regulator of a repayment of a subordinated loan or termination of a subordination agreement pursuant to section 12.2 of NI 31-103
Notice to the regulator of any change in, claim made under, or cancellation of any insurance policy pursuant to section 12.7 of NI 31-103

Other forms, documents and notices:

Any document not listed above and required to be delivered electronically under OSC Rule 11-501 must be submitted in PDF format to the OSC. A listing of forms and other related notices required to be delivered electronically are listed here.

NRD

Documents that are required to be filed through NRD must continue to be filed through this system.

Electronic payment of fees

Note that fees paid through NRD will continue to be paid through NRD. Only EFT-exempt firms, as defined in section 4.5 of NI 31-102, will be able to remit fees payable in connection with the filing of electronic documents to the OSC by credit or debit card. For further information regarding electronic fee payment, please refer to the payment instruction page that is displayed after filing your submission.

Questions

For more information, please refer to the OSC’s February 7, 2014 press release, OSC Rule 11-501 and the OSC’s electronic filing portal page https://www.osc.gov.on.ca/filings.

If you have any questions, please contact:

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