Updating registration information
Registered firms, registered individuals, and permitted individuals must keep the information they provide to the Ontario Securities Commission (OSC) or the Canadian Investment Regulatory Organization (CIRO) up-to-date. Firms submit updated information through the OSC’s electronic filing portal and/or CIRO, as applicable, and individuals submit through the National Registration Database (NRD). CIRO will be publishing guidance on how to submit updated information to them.
Changes to current employment information, including any dual employment or other outside business activities such as directorships, other professional activities and part-time employment must be disclosed.
Investment dealers and mutual fund dealers
In Ontario, firm registration for investment dealers and mutual fund dealers will be delegated to CIRO on April 1, 2025. After that date, investment dealers and mutual fund dealers must submit updated information to CIRO.
Firms registered in more than one firm category
Beginning April 1, 2025, a firm registered as an investment dealer or mutual fund dealer combined with another firm registration category that has not been delegated to CIRO, must submit updated information to both the OSC and CIRO.
Timelines for filing notices to update registration information
Filing deadlines are listed within Appendix A Summary of Notice Requirements in National Instrument 33-109 to Companion Policy 33-109CP Registration Information, which also lists the type of registration-related information to be kept up-to-date. These timelines apply to filings under Ontario’s Securities Act and Commodities Futures Act.
Fees may apply to certain registration related changes. In addition, if a filing or notice is received after the due date, a late fee may apply.
Please refer to fees for information.
Implementation Guide to Amendments to National Instrument 33-109: Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines
This guide provides information about amendments to National Instrument 33-109 Registration Information that come into force on June 6, 2022.