Skip to content
OSC Guidance Regarding Disruption of Mail Service
eFilings
Français
Search
Main navigation
Industry
Registration and compliance
Getting registered
Ongoing requirements
Changes to registration
Opportunity to be heard and Director’s decisions
Applying for relief
Registrant Outreach program
Registrant search
Registration forms and documents
Working with older and vulnerable clients
Registered crypto asset trading platforms
Innovation at the OSC
Companies
Selling securities in Ontario
Continuous disclosure
Resources for small and medium enterprises
Industry-specific disclosure requirements
Information on IFRS
Reporting issuer and issuer forms
Mergers and acquisitions
Issuer-related instruments, policies and notices
Applying for discretionary relief
Designated benchmarks and benchmark administrators
Investment funds and structured products
Types of investment funds
Prospectus offerings for investment funds in Ontario
Operating an investment fund in Ontario
Ongoing disclosure requirements for investment funds in Ontario
Marketing and sales of investment funds
IFSP eNews
Investment fund survey
Market regulation
Self-regulatory organizations (SRO)
Marketplaces
Clearing agencies and clearing houses
Investor protection funds
Information processors
Trade repositories
Market structure initiatives
Derivatives
Data reporting requirements for derivatives in Ontario and trade repository designation
Legal entity identifiers
CDOR/CORRA-based OTC derivatives trend analysis
SEDAR+
Securities law
Legislation
Legislative reviews
Instruments, rules and policies
1 - Procedure and Related Matters
2 - Certain Capital Market Participants
3 - Registration Requirements and Related Matters
4 - Distribution Requirements
5 - Ongoing Requirements for Issuers and Insiders
6 - Take-Over Bids and Special Transactions
7 - Securities Transactions Outside the Jurisdiction
8 - Investment Funds
9 - Derivatives
Documents not numbered
Securities rule-making in Ontario
Proposed instruments, rules and policies
Orders, rulings and decisions
Blanket orders
Delegation orders
OSC Bulletin
Filing documents online
Registration forms and documents
Reporting issuer and issuer forms
Tribunal
Investors
Investor protection
The OBSI Joint Regulators Committee
Investor resources
Investor research and reports
Investor warnings and alerts
Check before you invest
OSC in the Community
Investor Advisory Panel
Members of the Investor Advisory Panel
Investor Advisory Panel meeting agendas
Investor Advisory Panel notices and information
Submissions by the Investor Advisory Panel
Enforcement
Court proceedings
Sanctions
Allocation and use of funds from sanctions and settlements
Individuals or companies with unpaid OSC sanctions
Cease trade and freeze orders
Mediation program
OSC Whistleblower Program
Award eligibility and process
Whistleblower protections
Submit a whistleblower report
Update on the OSC Whistleblower Program 2016 to 2022
Investigation resources
Automatically reciprocated orders and settlement agreements
OSC QuadrigaCX report
QuadrigaCX investigative report
News & events
News releases
Events
Speeches and interviews
OSC Dialogue
Reports and publications
Media resources
Connect with us
Subscribe
OSC Guide
COVID-19 updates
About us
Role of the OSC
Our structure
OSC Strategic Plan
OSC organization and leadership
Advisory committees
Governance
Board Directors
Board committees
Accountability
OSC Annual Report
OSC Statement of Priorities
OSC Business Plan
OSC Service Commitment
Expense disclosure
Domestic and international engagement
Domestic engagement
International engagement
Visits from foreign delegations
Careers at the OSC
Working at the OSC
Student employment opportunities
Applying for a job with the OSC
Contact us
Accessing OSC records
Open Data
Open Data feedback form
Search
Comment Letters for CSA Staff Notice and Request for Comment 23-323 Trading Fee Rebate Pilot Study
Breadcrumb
Home
Securities law
Instruments, rules and policies
2 - Certain Capital Market Participants
23-323
CSA Staff Notice and Request for Comment 23-323 Trading Fee Rebate Pilot Study
Comment Letters for CSA Staff Notice and Request for Comment 23-323 Trading Fee Rebate Pilot Study
Component Menu Left Sidebar
Securities law
Legislation
Instruments, rules and policies
Proposed instruments, rules and policies
Orders, rulings and decisions
Blanket orders
Delegation orders
OSC Bulletin
Filing documents online
Comments Received (comment period due February 1, 2019 )
Date
Comment Letters
April 11, 2019
Title
Jessica Mitchell (Tri View Capital Ltd.)
Document opens in new tab
March 20, 2019
Title
Torys LLP
Document opens in new tab
March 18, 2019
Title
Brian Koscak (Pinnacle Wealth Brokers Inc.)
Document opens in new tab
March 11, 2019
Title
Independent Trading Group
Document opens in new tab
March 8, 2019
Title
Pat Dunwoody (Canadian Exchange-Traded Fund Association)
Document opens in new tab
March 8, 2019
Title
Cindy Petlock (NEO Exchange Inc.)
Document opens in new tab
March 5, 2019
Title
Louis Marcotte (Intact Financial Corporation)
Document opens in new tab
March 4, 2019
Title
Ronald Schwass (Wildeboer Dellelce LLP)
Document opens in new tab
March 4, 2019
Title
Jenna Hay (Lending Loop)
Document opens in new tab
March 4, 2019
Title
Jason Jardine (Leede Jones Gable Inc.)
Document opens in new tab
March 4, 2019
Title
Margaret Gunawan (BlackRock Asset Management Canada Limited (BlackRock Canada))
Document opens in new tab
March 4, 2019
Title
John McKinlay (CME Group Inc.)
Document opens in new tab
March 4, 2019
Title
FNT 104 Financial Services Regulatory Landscape and RegTech Class S(eneca Colleage School of Accounting and Financial Services)
Document opens in new tab
March 1, 2019
Title
Richard Carleton (CNSX Markets Inc.)
Document opens in new tab
March 1, 2019
Title
Deanna Dobrowsky (TMX Group Limited)
Document opens in new tab
March 1, 2019
Title
Cheryl Graden (TMX Group Limited)
Document opens in new tab
March 1, 2019
Title
Anthony Couture (Silver Maple Ventures inc. (dba FrontFundr)
Document opens in new tab
March 1, 2019
Title
Bernard Letendre and Rick Annaert (Manulife)
Document opens in new tab
March 1, 2019
Title
Martin Gagnon (National Bank of Canada)
Document opens in new tab
March 1, 2019
Title
Leo Salom (TD Wealth)
Document opens in new tab
March 1, 2019
Title
Kevin Sampson (TMX Group Limited)
Document opens in new tab
March 1, 2019
Title
Heather Killian (CIBC Capital Markets)
Document opens in new tab
March 1, 2019
Title
Tim Currie (Susan Copland (CI Investments Inc.)
Document opens in new tab
March 1, 2019
Title
Craig Asano (National Crowdfunding & Fintech Association of Canada)
Document opens in new tab
March 1, 2019
Title
David Gilkes, Nadine Milne, Brian Koscak, Frank Laferriere, Craig Skauge and Georgina Blanas (The Private Capital Markets Association of Canada)
Document opens in new tab
March 1, 2019
Title
Rebecca A. Cowdery and Manoj Pundit (Borden Ladner Gervais LLP)
Document opens in new tab
March 1, 2019
Title
Susan Copland (Investment Industry Association of Canada)
Document opens in new tab
March 1, 2019
Title
Nasdaq Canada
Document opens in new tab
March 1, 2019
Title
Fidae Abbas (Fidelity (Canada) Asset Management ULC)
Document opens in new tab
March 1, 2019
Title
Janet Holmes (AUM Law)
Document opens in new tab
March 1, 2019
Title
Jamie Anderson (CNSX Markets Inc.)
Document opens in new tab
March 1, 2019
Title
Christine J. Prudman (Xplornet Communications Inc.)
Document opens in new tab
March 1, 2019
Title
Robert Lemon (CIBC World Markets Inc.)
Document opens in new tab
March 1, 2019
Title
Mark Wilkinson and David Archer (Citadel Securities Canada)
Document opens in new tab
March 1, 2019
Title
Daniella MacDonald (Nicola Wealth Management Ltd.)
Document opens in new tab
March 1, 2019
Title
Tim Baron, Robert Murphy, David Wilson and Daniel Pearlman (Davies)
Document opens in new tab
March 1, 2019
Title
Daniella Shteynfeld (Refinitiv, on behalf of Thomson Reuters (SEF) LLC and Reuters Transaction Services Limited)
Document opens in new tab
March 1, 2019
Title
Chris Donnelly (Manulife Financial Corporation)
Document opens in new tab
March 1, 2019
Title
Lisa McDonald (PDAC)
Document opens in new tab
March 1, 2019
Title
James Kemp (The Global Foreign Exchange Division of the Global Financial Markets Association)
Document opens in new tab
March 1, 2019
Title
CSTA Trading Issues Committee (The Canadian Security Traders Association, Inc.)
Document opens in new tab
March 1, 2019
Title
Tyler Gellasch (Healthy Markets Association)
Document opens in new tab
March 1, 2019
Title
Katie Walmsley and Margaret Gunawan (The Portfolio Management Association of Canada)
Document opens in new tab
March 1, 2019
Title
Rhonda Starkman
Document opens in new tab
March 1, 2019
Title
Robert Sklar (Fidelity Investments Canada ULC)
Document opens in new tab
March 1, 2019
Title
Mark Adams (AGF Investments Inc.)
Document opens in new tab
March 1, 2019
Title
Independent Trading Group
Document opens in new tab
March 1, 2019
Title
Rich Steiner (RBC Dominion Securities Inc., Capital Markets and Wealth Management)
Document opens in new tab
March 1, 2019
Title
Doug Clark (Virtu ITG Canada Corp.)
Document opens in new tab
March 1, 2019
Title
Michelle Alexander (The Investment Industry Association of Canada)
Document opens in new tab
March 1, 2019
Title
Canadian Advocacy Council for Canadian CFA Institute Societies
Document opens in new tab
March 1, 2019
Title
Andrew Fitzpatrick (AVP Government Relations & Strategic Policy of the Great-West Life Assurance Company)
Document opens in new tab
March 1, 2019
Title
Laura Hewitt (Sun Life Financial)
Document opens in new tab
March 1, 2019
Title
Alex S. Holtan and Blair Page Scott (The Canadian Commercial Energy Working Group)
Document opens in new tab
March 1, 2019
Title
David Hetherington (Mackie Research Capital Corporation)
Document opens in new tab
March 1, 2019
Title
Paul C. Bourque (The Investment Funds Institute of Canada)
Document opens in new tab
March 1, 2019
Title
Katherine Darras (International Swaps and Derivatives Association, Inc.)
Document opens in new tab
March 1, 2019
Title
Canadian Bankers Association
Document opens in new tab
March 1, 2019
Title
Raj Vijh (Lysander Funds Limited)
Document opens in new tab
March 1, 2019
Title
Claire Van Wyk Allan, Stacy McLean, Francesca Smirnakis, Sarah Gardiner, Robert Lemon, Tim Baron, Elizabeth Purrier, Michael Burns, Daniel Dorenbush, Belle Kaura, Steve Banquier and Supriya Kapoor (Alternative Investment Management Association)
Document opens in new tab
March 1, 2019
Title
Etienne Dubuc and Martin Gagnon (National Bank Financial Inc.)
Document opens in new tab
March 1, 2019
Title
Bruce Cooper (TD Asset Management Inc.)
Document opens in new tab
March 1, 2019
Title
Sayuri Childs (EdgePoint Wealth Management Inc.)
Document opens in new tab
March 1, 2019
Title
Sandra L. Kegie (The Federation of Mutual Fund Dealers)
Document opens in new tab
March 1, 2019
Title
Torys LLP
Document opens in new tab
March 1, 2019
Title
Ricky Dogon (Foremost Financial)
Document opens in new tab
February 28, 2019
Title
Laurence Rose and Sean Debotte (Omega Securities Inc.)
Document opens in new tab
February 28, 2019
Title
Joy Thomas (Chartered Professional Accountants of Canada)
Document opens in new tab
February 28, 2019
Title
Neil Gross (Investor Advisory Panel)
Document opens in new tab
February 28, 2019
Title
Ian Bandeen
Document opens in new tab
February 28, 2019
Title
Cathy Hui Chun Lin and Jaclyn Moody (Burgundy Asset Management Ltd.)
Document opens in new tab
February 28, 2019
Title
Julianna Ahn (Invesco Canada Ltd.)
Document opens in new tab
February 28, 2019
Title
Marcia Moffatt (Canadian Coalition for Good Governance)
Document opens in new tab
February 28, 2019
Title
Daniel Schlaepfer and Mario Josipovic (Select Vantage Canada Inc. and Select Vantage Inc.)
Document opens in new tab
February 28, 2019
Title
Len Racioppo (Coerente Capital Management Inc.)
Document opens in new tab
February 27, 2019
Title
Alex Perel (Scotia Capital Inc.)
Document opens in new tab
February 26, 2019
Title
James S. Hershaw
Document opens in new tab
February 26, 2019
Title
Kevin Duggan, Richard Wan, Benoit Gauvin, Chris Roper, Adrien Mitchell, Rosanna Bruni, Mark Holleran, Mehmet Kinak and Carrie Freeborough (Ontario Teachers’ Pension Plan and undersigned Canadian Pension Plans and Global Asset Managers)
Document opens in new tab
February 26, 2019
Title
Jeremy Rutke
Document opens in new tab
February 26, 2019
Title
John Christofilos (AGF Investments Inc.)
Document opens in new tab
February 25, 2019
Title
Frank Callaghan
Document opens in new tab
February 22, 2019
Title
Anil Aggarwal, Stephen Erlichman, Garth J. Foster, Daniel Fuke, Munier M. Saloojee, John M. Sabetti, Tracy L. Hooey, John Kruk, François Brais, Jonathan Halwagi and Élise Renaud (Fasken Martineau DuMoulin LLP)
Document opens in new tab
February 22, 2019
Title
Margaret Gunawan and Hubert De Jesus (BlackRock Asset Management Canada Limited)
Document opens in new tab
February 22, 2019
Title
Anil Aggarwal, Stephen Erlichman, Garth J. Foster, Daniel Fuke, Munier M. Saloojee, John M. Sabetti, Tracy L. Hooey, John Kruk, François Brais, Jonathan Halwagi and Élise Renaud (Fasken Martineau DuMoulin LLP)
Document opens in new tab
February 20, 2019
Title
Cindy Petlock & Joacim Wiklander (Neo Exchange Inc.)
Document opens in new tab
February 19, 2019
Title
Kevin Thomas (The Shareholder Association for Research and Education)
Document opens in new tab
February 14, 2019
Title
Denys Calvin (Nexus Investment Management Inc.)
Document opens in new tab
February 12, 2019
Title
The Canadian Advocacy Council for Canadian CFA Institute Societies
Document opens in new tab
February 7, 2019
Title
Andrea Harland
Document opens in new tab
February 7, 2019
Title
Daniel E. Chornous (RBC Global Asset Management Inc.)
Document opens in new tab
February 5, 2019
Title
Norman Light (Enlightened Private Capital Inc.)
Document opens in new tab
February 1, 2019
Title
Randee Pavalow (ZigZag Applications and Solutions Inc.)
Document opens in new tab
January 29, 2019
Title
Peter Haynes (TD Securities Inc.)
Document opens in new tab
January 25, 2019
Title
Joel Freudman (Resurgent Capital Corp.)
Document opens in new tab
January 24, 2019
Title
Ken Kivenko
Document opens in new tab
January 23, 2019
Title
Robert Gouley and Brent Robertson (OMERS Administration Corporation)
Document opens in new tab
January 14, 2019
Title
Sheri Monardo
Document opens in new tab
January 9, 2019
Title
Deanna Dobrowsky (TMX Group Limited)
Document opens in new tab
Main navigation mobile
Industry
Back
Registration and compliance
Back
Getting registered
Back
How to register a firm
How to register an individual
Ongoing requirements
Back
Business conduct requirements
Compliance system
Compliance-related reports, staff notices and email notifications
Financial requirements
OSC compliance reviews
Updating registration information
Changes to registration
Back
Changing registration categories or jurisdictions
Registration terms and conditions
Surrendering registration
Suspending, reinstating and revoking registration
Transferring registration to another firm
Opportunity to be heard and Director’s decisions
Applying for relief
Registrant Outreach program
Back
Topical Guide for Registrants
Registrant search
Back
Registered Firms List
Registration forms and documents
Back
Fees
Back
Participation fees
Activity fees
Late fees
National Registration Database (NRD) fees
Working with older and vulnerable clients
Registered crypto asset trading platforms
Innovation at the OSC
Companies
Back
Selling securities in Ontario
Back
Pre-filing a prospectus with the OSC
Filing a prospectus in Ontario
Prospectus marketing rules
Acquisition disclosure when filing a prospectus
Other prospectus matters
The exempt market
Back
Exempt Distributions Summary
Continuous disclosure
Back
Insider reporting
Resources for small and medium enterprises
Industry-specific disclosure requirements
Back
Specific disclosure requirements for mining and oil and gas companies
Canadian cannabis industry disclosure requirements
Information on IFRS
Back
Guidelines for Requests for Consultations with the Office of the Chief Accountant
Reporting issuer and issuer forms
Back
Filing due dates calendar for annual and interim filings by reporting issuers
Form 45-106F1 - Report of Exempt Distribution
Mergers and acquisitions
Back
Take-over bids and issuer bids
Conflict of interest transactions
Take-over bid defensive tactics
Early warning system and alternative monthly reporting system
Issuer-related instruments, policies and notices
Applying for discretionary relief
Designated benchmarks and benchmark administrators
Investment funds and structured products
Back
Types of investment funds
Prospectus offerings for investment funds in Ontario
Operating an investment fund in Ontario
Ongoing disclosure requirements for investment funds in Ontario
Marketing and sales of investment funds
IFSP eNews
Investment fund survey
Back
Investment Fund Survey data
Market regulation
Back
Self-regulatory organizations (SRO)
Back
Canadian Investment Regulatory Organization (CIRO)
Predecessor self-regulatory organizations
Back
Investment Industry Regulatory Organization of Canada (IIROC)
Mutual Fund Dealers Association of Canada (MFDA)
Marketplaces
Back
Exchanges
Back
Recognized exchanges
Exempt exchanges
Swap Execution Facilities and Multilateral Trading Facilities
Alternative trading systems (ATSs)
Back
ATSs operating in Ontario
Clearing agencies and clearing houses
Back
Recognized clearing agencies
Exempted clearing agencies
Investor protection funds
Back
Canadian Investor Protection Fund (CIPF)
Predecessor investor protection funds
Back
Former Canadian Investor Protection Fund (former CIPF)
MFDA Investor Protection Corporation (MFDA IPC)
Information processors
Trade repositories
Market structure initiatives
Derivatives
Back
Data reporting requirements for derivatives in Ontario and trade repository designation
Legal entity identifiers
CDOR/CORRA-based OTC derivatives trend analysis
SEDAR+
Securities law
Back
Legislation
Back
Legislative reviews
Instruments, rules and policies
Back
1 - Procedure and Related Matters
2 - Certain Capital Market Participants
3 - Registration Requirements and Related Matters
4 - Distribution Requirements
5 - Ongoing Requirements for Issuers and Insiders
6 - Take-Over Bids and Special Transactions
7 - Securities Transactions Outside the Jurisdiction
8 - Investment Funds
9 - Derivatives
Documents not numbered
Securities rule-making in Ontario
Proposed instruments, rules and policies
Orders, rulings and decisions
Blanket orders
Delegation orders
OSC Bulletin
Filing documents online
Back
Registration forms and documents
Reporting issuer and issuer forms
Tribunal
Investors
Back
Investor protection
Back
The OBSI Joint Regulators Committee
Investor resources
Investor research and reports
Investor warnings and alerts
Check before you invest
OSC in the Community
Investor Advisory Panel
Back
Members of the Investor Advisory Panel
Investor Advisory Panel meeting agendas
Investor Advisory Panel notices and information
Submissions by the Investor Advisory Panel
Enforcement
Back
Court proceedings
Sanctions
Back
Allocation and use of funds from sanctions and settlements
Back
Current distributions of funds from sanctions and settlements
Individuals or companies with unpaid OSC sanctions
Cease trade and freeze orders
Mediation program
OSC Whistleblower Program
Back
Award eligibility and process
Whistleblower protections
Submit a whistleblower report
Back
Submission guide
Technical support for submitting a Whistleblower report
Update on the OSC Whistleblower Program 2016 to 2022
Investigation resources
Automatically reciprocated orders and settlement agreements
OSC QuadrigaCX report
Back
QuadrigaCX investigative report
News & events
Back
News releases
Events
Back
Speeches and interviews
OSC Dialogue
Back
OSC Dialogue 2024: Inviting, thriving and secure capital markets
OSC Dialogue 2023: Regulating with Purpose
OSC Dialogue 2021: Creating Conditions for Growth
Reports and publications
Media resources
Connect with us
Subscribe
Back
OSC Guide
COVID-19 updates
About us
Back
Role of the OSC
Back
Our structure
OSC Strategic Plan
OSC organization and leadership
Advisory committees
Governance
Back
Board Directors
Back
Board Director opportunities
Board committees
Accountability
Back
OSC Annual Report
OSC Statement of Priorities
OSC Business Plan
OSC Service Commitment
Back
OSC Service Standards Reporting
Expense disclosure
Domestic and international engagement
Back
Domestic engagement
Back
Domestic Memoranda of Understanding (MOUs)
International engagement
Back
International Memoranda of Understanding (MOUs)
Data privacy and the Administrative Arrangement
Visits from foreign delegations
Careers at the OSC
Back
Working at the OSC
Student employment opportunities
Applying for a job with the OSC
Contact us
Back
Accessing OSC records
Open Data
Back
Open Data feedback form
eFilings
Français
Comments Received (comment period due February 1, 2019 )