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 Notice of CSA Request for Comments: NI 31-103 - Registration Requirements
Breadcrumb
Home
Securities law
Instruments, rules and policies
3 - Registration Requirements and Related Matters
31-103
Notice of CSA Request for Comments: NI 31-103 - Registration Requirements
Comment Letters for Notice of CSA Request for Comments: NI 31-103 - Registration Requirements
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 June 20, 2007 )
Date
Comment Letters
June 30, 2007
Title
David G. Strongin (Securities Industry and Financial Markets Association)
Document opens in new tab
June 30, 2007
Title
Shauna Marie Ocharyk, Tim Volkanon, R.D. Maclean, & Doug Meier
Document opens in new tab
June 30, 2007
Title
Eleanor K. Farrell (Canada Pension Plan Investment Board)
Document opens in new tab
June 30, 2007
Title
Glen Miles
Document opens in new tab
June 29, 2007
Title
Canadian Bankers Association
Document opens in new tab
June 29, 2007
Title
Jo-Ann Bund, Bryce Kraeker & Paul A. Dempsey (Gowling Lafleur Henderson LLP)
Document opens in new tab
June 29, 2007
Title
Paul A. Parisotto
Document opens in new tab
June 29, 2007
Title
Glen B. Gowland (Scotia Securities)
Document opens in new tab
June 29, 2007
Title
Securities Law Subcommittee (Business Law) Ontario Bar Association
Document opens in new tab
June 29, 2007
Title
Donna Beasant (BluMont Capital)
Document opens in new tab
June 29, 2007
Title
John G. Gaine (Managed Funds Association)
Document opens in new tab
June 29, 2007
Title
Peter Hatges, Michael Badham, Anthony Ianni & Keith Mosley
Document opens in new tab
June 29, 2007
Title
Al Dharsee
Document opens in new tab
June 29, 2007
Title
Jeff Atlin (Independent Mortgage Brokers Association of Ontario)
Document opens in new tab
June 29, 2007
Title
Susan Eapen (Scotia Capital)
Document opens in new tab
June 29, 2007
Title
Leanne Wilson (Paradigm Mortgage Corporation)
Document opens in new tab
June 29, 2007
Title
S. Mark Francis (Exploratus Ltd.)
Document opens in new tab
June 28, 2007
Title
Gordon A.D. Newmarch
Document opens in new tab
June 28, 2007
Title
Bob & Mary McDonald
Document opens in new tab
June 28, 2007
Title
Jean Shelemey
Document opens in new tab
June 28, 2007
Title
Bruce Aitken
Document opens in new tab
June 28, 2007
Title
Wes Wilson
Document opens in new tab
June 27, 2007
Title
Joseph J. Oliver (Investment Dealers Association of Canada)
Document opens in new tab
June 27, 2007
Title
Darcee McJannet (Citrine Investment Services)
Document opens in new tab
June 27, 2007
Title
Robert Floyd (R.A. Floyd Capital Management Inc.)
Document opens in new tab
June 27, 2007
Title
Douglas Reeson
Document opens in new tab
June 27, 2007
Title
Roger McMillan & Steve Howard (Advocis)
Document opens in new tab
June 26, 2007
Title
M. Catherine Tuckwell (Scotia Cassels Investment Counsel Limited)
Document opens in new tab
June 26, 2007
Title
Patricia Dillon (Prospectors & Developers Association of Canada)
Document opens in new tab
June 25, 2007
Title
Jeff McCord (Vertex One Asset Management)
Document opens in new tab
June 25, 2007
Title
Sean Linstead (Genesis Limited Partnerships on behalf of Genesis Land Development Corp.)
Document opens in new tab
June 25, 2007
Title
Judy Goldring (AGF Funds Inc.)
Document opens in new tab
June 25, 2007
Title
Tok
Document opens in new tab
June 25, 2007
Title
Frank Hurst (Assante Wealth Management)
Document opens in new tab
June 25, 2007
Title
Robert Cook (Canadian Trading and Quotation System Inc.)
Document opens in new tab
June 22, 2007
Title
Daniel D. Bowering (Blackmont Capital)
Document opens in new tab
June 22, 2007
Title
Stikeman Elliot LLP
Document opens in new tab
June 22, 2007
Title
David Coultice (Fraser Milner Casgrain)
Document opens in new tab
June 22, 2007
Title
Judy Nicholson (Edward Jones)
Document opens in new tab
June 21, 2007
Title
Ian Pember (Hillsdale)
Document opens in new tab
June 20, 2007
Title
Carlos Velez
Document opens in new tab
June 20, 2007
Title
Domenic Rinaldi
Document opens in new tab
June 20, 2007
Title
Murray J. Taylor (IGM Financial Inc.)
Document opens in new tab
June 20, 2007
Title
Paul D. Glenn (Investment Adviser Association)
Document opens in new tab
June 20, 2007
Title
Angelique McKenzie
Document opens in new tab
June 20, 2007
Title
Malcolm McKenzie
Document opens in new tab
June 20, 2007
Title
Joey J. De Goey (Burgeonvest Securities Limited.)
Document opens in new tab
June 20, 2007
Title
Wayne Alford (ATB Investor Services)
Document opens in new tab
June 20, 2007
Title
Portfolio Management
Document opens in new tab
June 20, 2007
Title
Blair Carey & Robert Morgan (Canadian Advocacy Council)
Document opens in new tab
June 20, 2007
Title
Constantine Lycos
Document opens in new tab
June 20, 2007
Title
Douglas R. Brown (Manitoba Securities Commission)
Document opens in new tab
June 20, 2007
Title
Oliver Murray (Brandes Investment Partners)
Document opens in new tab
June 20, 2007
Title
Bill Haldane (BMO Nesbitt Burns Inc.)
Document opens in new tab
June 20, 2007
Title
Mary d'Eon (Pan Aset Management Ltd.)
Document opens in new tab
June 20, 2007
Title
IGM Financial
Document opens in new tab
June 20, 2007
Title
John Whaley (Independent Financial Brokers)
Document opens in new tab
June 20, 2007
Title
RBC Financial Group
Document opens in new tab
June 20, 2007
Title
Borden Ladner Gervais
Document opens in new tab
June 20, 2007
Title
Dan Hallett (Dan Hallett & Associates Inc)
Document opens in new tab
June 20, 2007
Title
Ian C. W. Russell (Investment Industry Association of Canada)
Document opens in new tab
June 20, 2007
Title
Paola Cifelli (BMO Mutual Funds)
Document opens in new tab
June 20, 2007
Title
Aird & Berlis LLP
Document opens in new tab
June 20, 2007
Title
Lindsay A. Horwood (Computershare Trust Company of Canada)
Document opens in new tab
June 20, 2007
Title
Jill W. McFarlane (Irwin, White & Jennings)
Document opens in new tab
June 20, 2007
Title
Tim W. Forristal (The Canadian Institute of Chartered Accountants)
Document opens in new tab
June 20, 2007
Title
Peter A. Lewis & Bruce Elliott (RESP Dealers Association of Canada)
Document opens in new tab
June 20, 2007
Title
Scott Mahaffy (McLean Budden Limited)
Document opens in new tab
June 20, 2007
Title
Charles Vander Griendt
Document opens in new tab
June 20, 2007
Title
Don Campbell (Tetram Capital Partners Ltd.)
Document opens in new tab
June 20, 2007
Title
Nadine Krenosky (Greystone Managed Investments Inc.)
Document opens in new tab
June 20, 2007
Title
Anne Landry
Document opens in new tab
June 20, 2007
Title
Manuel DaSilva (Canfin Financial Group)
Document opens in new tab
June 20, 2007
Title
John M. Damgard (Futures Industry Association)
Document opens in new tab
June 20, 2007
Title
Wayne Bolton (AIM Trimark)
Document opens in new tab
June 20, 2007
Title
R Darryl Fraser
Document opens in new tab
June 20, 2007
Title
Bob Myroniuk (Real Estate Council of Alberta)
Document opens in new tab
June 20, 2007
Title
Craig Skauge (KMC Capital Inc.)
Document opens in new tab
June 20, 2007
Title
E.R. Long (Mandate National Mortgage Corporation)
Document opens in new tab
June 20, 2007
Title
Osler, Hoskin & Harcourt on behalf of Goldman Sachs Group Inc.
Document opens in new tab
June 20, 2007
Title
Judy Augustine (Gryphon Investment Counsel Inc.)
Document opens in new tab
June 20, 2007
Title
Max Reydman (Optimal Models and Decisions Inc.)
Document opens in new tab
June 20, 2007
Title
Isabelle Grenier (Gestion Universitas)
Document opens in new tab
June 20, 2007
Title
Stephanie A. McManus (Association of Canadian Compliance Professionals)
Document opens in new tab
June 20, 2007
Title
Richard M. Tattersall (Heathbridge Capital Management Ltd.)
Document opens in new tab
June 20, 2007
Title
Brad Beuttenmiller (Franklin Templeton Investment Corp.)
Document opens in new tab
June 20, 2007
Title
Diane Gabay (ETS Equities Trading Services Inc.)
Document opens in new tab
June 20, 2007
Title
Michael S. Greer & Christopher J. Enright (Industrial Alliance)
Document opens in new tab
June 20, 2007
Title
Paul A. Brisson (Highstreet Asset Management)
Document opens in new tab
June 20, 2007
Title
Alexander Rhind (Alexander Capital Group Inc.)
Document opens in new tab
June 20, 2007
Title
Luc Labelle (Chambre De La Securite Financiere)
Document opens in new tab
June 20, 2007
Title
Jim Murphy (Canadian Association of Accredited Mortgage Professionals)
Document opens in new tab
June 20, 2007
Title
Torstein Braaten (Investment Technology Group)
Document opens in new tab
June 20, 2007
Title
Phil Schmitt (Alternative Investment Management Association)
Document opens in new tab
June 20, 2007
Title
Shairoon Mohammed
Document opens in new tab
June 20, 2007
Title
Chris Charron
Document opens in new tab
June 20, 2007
Title
Douglas A.C. Davis (Davis-Rea Ltd.)
Document opens in new tab
June 20, 2007
Title
Nyron Mohammed
Document opens in new tab
June 20, 2007
Title
Benny Katz
Document opens in new tab
June 20, 2007
Title
Mark T. Gordon (Mutual Fund Dealers Association of Canada)
Document opens in new tab
June 20, 2007
Title
IBK Capital Corp.
Document opens in new tab
June 20, 2007
Title
John Montalbano (Phillips, Hager & North)
Document opens in new tab
June 20, 2007
Title
Rajiv Silgardo (Barclays Global Investors)
Document opens in new tab
June 20, 2007
Title
Bob O'Leary (TD Securities)
Document opens in new tab
June 20, 2007
Title
D. Bruce McLeod & Donald A. Gordon (Canadian Listed Company Association)
Document opens in new tab
June 20, 2007
Title
G.W. Holden (Advanta Mortgage Corp)
Document opens in new tab
June 20, 2007
Title
Pamela J. Reeve
Document opens in new tab
June 20, 2007
Title
Adam Abramson (Trapeze Asset Management)
Document opens in new tab
June 20, 2007
Title
Liam Woods (Knowledge Suites)
Document opens in new tab
June 20, 2007
Title
Michael Nairne (Tacita Capital Inc.)
Document opens in new tab
June 20, 2007
Title
James Assef
Document opens in new tab
June 20, 2007
Title
Thomas Ottosen
Document opens in new tab
June 20, 2007
Title
Roger McMillan & Steve Howard (Advocis)
Document opens in new tab
June 19, 2007
Title
Shelley Lamer (Crown Properties International Corporation)
Document opens in new tab
June 19, 2007
Title
Marc J. Cormier
Document opens in new tab
June 19, 2007
Title
Blair Roblin
Document opens in new tab
June 19, 2007
Title
John Ugyan (Premiere Canadian Mortgage Corp.)
Document opens in new tab
June 19, 2007
Title
Michael Brooks (Real Pac)
Document opens in new tab
June 19, 2007
Title
Gordon Pansagrat (Elliot & Page Limited)
Document opens in new tab
June 19, 2007
Title
Andy Mitchell (Wildsource Financial Mangement)
Document opens in new tab
June 19, 2007
Title
Ron Thompson (Crown Properties International Corporation)
Document opens in new tab
June 19, 2007
Title
L. Brian Peterson (MBABC)
Document opens in new tab
June 19, 2007
Title
Norm Minor (Crown Properties International Corporation)
Document opens in new tab
June 19, 2007
Title
Joanne De Laurentiis (The Investment Funds Institute of Canada) English / French
Document opens in new tab
June 19, 2007
Title
Steven M. London (Cardinal Capital Mangement Inc.)
Document opens in new tab
June 19, 2007
Title
Mark McQueen (Wellington Financial)
Document opens in new tab
June 19, 2007
Title
Brent Wilson
Document opens in new tab
June 19, 2007
Title
Kevin Norman (Cooper Pacific Mortgage Investment Corporation)
Document opens in new tab
June 19, 2007
Title
R. Brian Reynolds (Legacy Associates Inc.)
Document opens in new tab
June 19, 2007
Title
Michael F. Provenzano (Northwest Law Group)
Document opens in new tab
June 19, 2007
Title
Investment Council Association of Canada
Document opens in new tab
June 19, 2007
Title
Athanasios Doikas
Document opens in new tab
June 19, 2007
Title
Sandra L. Kegie (Federation of Mutual Fund Dealers)
Document opens in new tab
June 19, 2007
Title
Lars Coombs
Document opens in new tab
June 19, 2007
Title
Paul M. Lavelle & R. Craig Gibson (Cambridge Corporate Development)
Document opens in new tab
June 19, 2007
Title
John A. Adams (Primerica)
Document opens in new tab
June 19, 2007
Title
Thomas Beyer (Prestigious Properties Group)
Document opens in new tab
June 19, 2007
Title
Mark R. Hughes (HughestLittle Investment Management Ltd.)
Document opens in new tab
June 19, 2007
Title
Carole Dagher (CIBC)
Document opens in new tab
June 19, 2007
Title
Alan W. McFarlane
Document opens in new tab
June 19, 2007
Title
Robert C. White (Tradex Management Inc.)
Document opens in new tab
June 19, 2007
Title
Nick Kazakoff (Crown Properties International Corporation)
Document opens in new tab
June 19, 2007
Title
Jason Slattery (Legacy Associates Inc.)
Document opens in new tab
June 19, 2007
Title
B.M. Gabrielson
Document opens in new tab
June 18, 2007
Title
Mark Q Connelly (Davies Ward Phillips & Vineberg)
Document opens in new tab
June 18, 2007
Title
Rosalie Paladeau
Document opens in new tab
June 18, 2007
Title
Amal Ayoub
Document opens in new tab
June 18, 2007
Title
Doug Owoo
Document opens in new tab
June 18, 2007
Title
Robert G. Malcolm (Legacy Associates)
Document opens in new tab
June 18, 2007
Title
Jo Ann Stimpson
Document opens in new tab
June 18, 2007
Title
Rhena Makeiff
Document opens in new tab
June 18, 2007
Title
Shawe Nasr
Document opens in new tab
June 18, 2007
Title
Board of Directors (LMDA)
Document opens in new tab
June 18, 2007
Title
Hannah Nasr
Document opens in new tab
June 18, 2007
Title
John Mackay (Aveiro Investment Group)
Document opens in new tab
June 18, 2007
Title
Brian Patterson (Park Place Communities)
Document opens in new tab
June 18, 2007
Title
Rick Nathan (Canada's Venture Capital & Private Equity Association)
Document opens in new tab
June 18, 2007
Title
Tina Heslip
Document opens in new tab
June 18, 2007
Title
Brian A. Rennie (Integra Capital Limited)
Document opens in new tab
June 18, 2007
Title
Jim Hunter
Document opens in new tab
June 17, 2007
Title
Arlene Burke (Citrine Investment Services Ltd.)
Document opens in new tab
June 17, 2007
Title
Jim Huang (T.I.P. Wealth Manager Inc.)
Document opens in new tab
June 17, 2007
Title
John S. Clark (Pacific Spirit Investment Management Inc.)
Document opens in new tab
June 15, 2007
Title
Catherine Rajchel
Document opens in new tab
June 15, 2007
Title
Carol Werger (Can Terra Developments Inc.)
Document opens in new tab
June 15, 2007
Title
Vince Rajchel
Document opens in new tab
June 15, 2007
Title
David Agnew (Ombudsman)
Document opens in new tab
June 15, 2007
Title
Shawe & Hannah Nasr
Document opens in new tab
June 15, 2007
Title
Susan Belcher (CareVest Capital Inc.)
Document opens in new tab
June 14, 2007
Title
D Higdon
Document opens in new tab
June 14, 2007
Title
Marc Flynn (CSI Global Education, Inc.)
Document opens in new tab
June 14, 2007
Title
Robert J. Frost & Scott Reed (Proforma Capital Inc.)
Document opens in new tab
June 14, 2007
Title
Vic DeLaet (Focused Money Solutions Inc.)
Document opens in new tab
June 14, 2007
Title
Dan L. Baxter (Schinnour, Matkin & Baxter)
Document opens in new tab
June 14, 2007
Title
Mark S. Yamada (Pur Investing Inc.)
Document opens in new tab
June 14, 2007
Title
Anthony Ariganello (Certified General Accountants of Canada)
Document opens in new tab
June 14, 2007
Title
Ed Nycholat (FRPL Finance Ltd.)
Document opens in new tab
June 14, 2007
Title
Mark Silverthorn
Document opens in new tab
June 13, 2007
Title
Heiko Hansen
Document opens in new tab
June 13, 2007
Title
Rae Meier (Paradigm Mortgage Corporation)
Document opens in new tab
June 13, 2007
Title
Ben and Theresa Veldhoen
Document opens in new tab
June 12, 2007
Title
Gerald Yung (Claremont Advisors Ltd.)
Document opens in new tab
June 12, 2007
Title
James B. Ramsay (Interior Equities Corp.)
Document opens in new tab
June 12, 2007
Title
Arthur Wong (Genesis Land Development Corp.)
Document opens in new tab
June 12, 2007
Title
Travis Cadman (Keyston)
Document opens in new tab
June 11, 2007
Title
John Papoutsakis (Sophies Pizza)
Document opens in new tab
June 11, 2007
Title
Allan Matthews (Sitefinders Group of Copmanies)
Document opens in new tab
June 11, 2007
Title
Roger R. Rose
Document opens in new tab
June 11, 2007
Title
Denise Beaven
Document opens in new tab
June 11, 2007
Title
Andrew Parkinson (Van Arbor Management Ltd.)
Document opens in new tab
June 11, 2007
Title
Sylvia Page
Document opens in new tab
June 9, 2007
Title
Mike Rath
Document opens in new tab
June 9, 2007
Title
Robert Kirkham
Document opens in new tab
June 9, 2007
Title
Terry Frehlich
Document opens in new tab
June 8, 2007
Title
Don Burns
Document opens in new tab
June 8, 2007
Title
Peter Paauw (Unity Investments)
Document opens in new tab
June 8, 2007
Title
A.E. Ruissen (Nascorp Capital Inc.)
Document opens in new tab
June 8, 2007
Title
Shawn Rose
Document opens in new tab
June 8, 2007
Title
Brenda McKay
Document opens in new tab
June 7, 2007
Title
James Ho (Quantum Financial Services)
Document opens in new tab
June 7, 2007
Title
Frances Kirkham
Document opens in new tab
June 6, 2007
Title
Gary Liu and Jerry Lam (Cirplus Futures Inc.)
Document opens in new tab
June 6, 2007
Title
Ronald Blazenko
Document opens in new tab
June 6, 2007
Title
Gordon Sokolon
Document opens in new tab
June 6, 2007
Title
Vincent A. Valenti (Independent Planning Group Inc.)
Document opens in new tab
June 6, 2007
Title
Barbara Blazenko
Document opens in new tab
June 6, 2007
Title
Maurya Sokolon
Document opens in new tab
June 5, 2007
Title
Jennie Z. Tkach
Document opens in new tab
June 5, 2007
Title
Mas Nohara
Document opens in new tab
June 5, 2007
Title
Nicholas A. Cardinale (UBS Investment Management)
Document opens in new tab
June 5, 2007
Title
Karen Nohara
Document opens in new tab
June 5, 2007
Title
Mervin & Geraldine M. Brooks
Document opens in new tab
June 5, 2007
Title
Ivan Lorentz
Document opens in new tab
June 5, 2007
Title
Margaret Stangier
Document opens in new tab
June 5, 2007
Title
Nicholas A. Cardinale (UBS Investment Management Canada Inc.)
Document opens in new tab
June 4, 2007
Title
Rick Skauge (Eyelogic Systems Inc.)
Document opens in new tab
June 4, 2007
Title
Philip Briddon (Mountain Financial Corp.)
Document opens in new tab
June 1, 2007
Title
Jeff Lund (Alberta Provincial Financial Inc.)
Document opens in new tab
June 1, 2007
Title
Wayne Strandlund (Fisgard Capital Corporation)
Document opens in new tab
May 29, 2007
Title
Edward Kholodenko (Questrade Inc.)
Document opens in new tab
May 29, 2007
Title
Steve F. Vieweg (CMA)
Document opens in new tab
May 29, 2007
Title
Ken Kivenko (Kenmar)
Document opens in new tab
May 29, 2007
Title
Marcia Ross
Document opens in new tab
May 28, 2007
Title
Charles B. Loewen (Loewen & Associates)
Document opens in new tab
May 28, 2007
Title
Alex Sherwood
Document opens in new tab
May 25, 2007
Title
David J. Matlow (Goodmans LLP)
Document opens in new tab
May 24, 2007
Title
Joseph C. Heslip
Document opens in new tab
May 24, 2007
Title
John R. Heslip
Document opens in new tab
May 22, 2007
Title
Geoff Heathcote
Document opens in new tab
May 21, 2007
Title
Sandra Lee Heslip
Document opens in new tab
May 19, 2007
Title
Klaus Faisst
Document opens in new tab
May 19, 2007
Title
Wallace Halladay
Document opens in new tab
May 16, 2007
Title
James L. Mercier (Reliable Mortgages Investment Corporation)
Document opens in new tab
May 16, 2007
Title
Kevin Weir
Document opens in new tab
May 15, 2007
Title
Charles Vander Griendt (CMV Financial Corp.)
Document opens in new tab
May 14, 2007
Title
Daphne Field
Document opens in new tab
May 14, 2007
Title
Garry Stillie
Document opens in new tab
May 14, 2007
Title
Andrea Moore
Document opens in new tab
May 14, 2007
Title
Robert E. Weir
Document opens in new tab
May 13, 2007
Title
David Thomas
Document opens in new tab
May 11, 2007
Title
John Plant
Document opens in new tab
May 11, 2007
Title
Robert Rose
Document opens in new tab
May 10, 2007
Title
George C. Pilney
Document opens in new tab
May 10, 2007
Title
S. Mark Lord
Document opens in new tab
May 10, 2007
Title
Andras Borbely
Document opens in new tab
May 8, 2007
Title
Townsend Haines
Document opens in new tab
May 8, 2007
Title
J.P. Robinson (First Canadian Property Investments Ltd.)
Document opens in new tab
May 4, 2007
Title
Robert Rose
Document opens in new tab
May 2, 2007
Title
David A. Mayer
Document opens in new tab
May 2, 2007
Title
Harry Friesen
Document opens in new tab
May 1, 2007
Title
Gerry Manning
Document opens in new tab
May 1, 2007
Title
Michael Hogan (Hogan & Greenfield Design/Build Ltd.)
Document opens in new tab
May 1, 2007
Title
Corby Fine
Document opens in new tab
May 1, 2007
Title
John Leung
Document opens in new tab
May 1, 2007
Title
Roland Mallier
Document opens in new tab
May 1, 2007
Title
John N. Pretty
Document opens in new tab
May 1, 2007
Title
Chris Tountzios
Document opens in new tab
April 29, 2007
Title
Jeannette Kudela
Document opens in new tab
April 28, 2007
Title
Kathryn and Robert Hall
Document opens in new tab
April 25, 2007
Title
Brian McBain
Document opens in new tab
April 24, 2007
Title
Barbara Cantlie
Document opens in new tab
April 24, 2007
Title
Joe Hogan
Document opens in new tab
April 17, 2007
Title
John Carpenter (CGA Alberta)
Document opens in new tab
April 3, 2007
Title
Tom Stanley (Resolute Funds Limtied)
Document opens in new tab
March 29, 2007
Title
Stephen R. Jakob and D. Richard Brown (Osprey Capital Partners)
Document opens in new tab
March 26, 2007
Title
Don C. Paradis (DCP Financial Management)
Document opens in new tab
March 5, 2007
Title
Peter de Auer (Cluster Asset Management Inc.)
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 June 20, 2007 )