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 Consultation Paper 43-401 – Consultation on National Instrument 43-101 Standards of Disclosure for Mineral Projects
Breadcrumb
Home
Securities law
Instruments, rules and policies
4 - Distribution Requirements
43-401
CSA Consultation Paper 43-401 – Consultation on National Instrument 43-101 Standards of Disclosure for Mineral Projects
Comment Letters for CSA Consultation Paper 43-401 – Consultation on National Instrument 43-101 Standards of Disclosure for Mineral Projects
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 September 13, 2022 )
Date
Comment Letters
September 28, 2022
Title
Craig Feebrey (OceanaGold)
Document opens in new tab
September 27, 2022
Title
Loui Anastasopoulos (TMX Group Limited)
Document opens in new tab
September 14, 2022
Title
Mohan Srivastava
Document opens in new tab
September 14, 2022
Title
Greg Gosson (Wood Canada Limited)
Document opens in new tab
September 13, 2022
Title
Brian Doolittle (Haudenosaunee Development Institute)
Document opens in new tab
September 13, 2022
Title
Bernhard Zinkhofer, Bernhard Zinkhofer Law Corp.
Document opens in new tab
September 13, 2022
Title
Kevin Beauchamp and Matthew Boland (WSP Golder)
Document opens in new tab
September 13, 2022
Title
Martin Pittuck (Mining Geology)
Document opens in new tab
September 13, 2022
Title
Bill McGuinty and Melanie Siewert (Professional Geoscientists Ontario)
Document opens in new tab
September 13, 2022
Title
Eric Chapman and Linda Desaulniers (Fortuna Silver Mines Inc)
Document opens in new tab
September 13, 2022
Title
Jeff Geipel (Mining Shared Value)
Document opens in new tab
September 13, 2022
Title
Toni Simon
Document opens in new tab
September 13, 2022
Title
Jerry Blackwell
Document opens in new tab
September 13, 2022
Title
Shin Imai and Sarah-Grace Ross (Justice and Corporate Accountability Project)
Document opens in new tab
September 13, 2022
Title
CIM ESRS, ESG Working Group
Document opens in new tab
September 13, 2022
Title
Kevin Thomas (SHARE)
Document opens in new tab
September 13, 2022
Title
Katie Walmsley and Margaret Gunawan (Portfolio Management Association of Canada)
Document opens in new tab
September 13, 2022
Title
Michael Goehring (Mining Association of British Columbia)
Document opens in new tab
September 13, 2022
Title
Greg Kulla
Document opens in new tab
September 13, 2022
Title
Nicolas Szwedska (BBA Inc.)
Document opens in new tab
September 13, 2022
Title
Osler, Hoskin & Harcourt LLP
Document opens in new tab
September 13, 2022
Title
Roy Wares
Document opens in new tab
September 13, 2022
Title
Niilo Edwards (The First Nations Major Projects Coalition)
Document opens in new tab
September 13, 2022
Title
Justice and Corporate Accountability Project, Environmental Justice and Sustainability Clinic at Osgoode Hall Law School & Guatemala-Maritimes Breaking the Silence Network
Document opens in new tab
September 13, 2022
Title
Sheldon Wuttunee (Saskstchewan First nations Natural Resource Centre of Excellence Inc)
Document opens in new tab
September 13, 2022
Title
Deborah A. McCombe and Jason J. Cox (SLR Consulting Canada)
Document opens in new tab
September 13, 2022
Title
Lisa McDonald (Prospectors & Developers Association of Canada)
Document opens in new tab
September 13, 2022
Title
Richard Fridman and Robert Murphy (Davies)
Document opens in new tab
September 13, 2022
Title
Teresa Steele-Schober
Document opens in new tab
September 13, 2022
Title
Kendra Johnston (Association for Mineral Exploration)
Document opens in new tab
September 12, 2022
Title
Steve Hunt - Joint Ore Reserves Committee of Australasia
Document opens in new tab
September 12, 2022
Title
William McGuinty (OTD Exploration Services Inc.)
Document opens in new tab
September 12, 2022
Title
David Albert (Ordre des géologues du Québec) - French
Document opens in new tab
September 12, 2022
Title
David Paquin Bilodeau, Dyane Duquette, Olivier Grondin, Adrian Martinez, Jean Cayouette, Paul Blatter, Marjorie Simard (Agnico Eagle Mines)
Document opens in new tab
September 12, 2022
Title
Geordie Hungerford (First Nations Financial Management Board)
Document opens in new tab
September 12, 2022
Title
Ken Lomberg (SAMREC/SAMCODES)
Document opens in new tab
September 12, 2022
Title
Alexander Pizale and Jennifer Hansen (Cassels Brock & Blackwell LLP)
Document opens in new tab
September 12, 2022
Title
Garth Kirkham (CIM Mineral Resource and Mineral Reserve Committee)
Document opens in new tab
September 12, 2022
Title
Tania Ilieva (Micon International Limited)
Document opens in new tab
September 12, 2022
Title
Ken Lomberg
Document opens in new tab
September 12, 2022
Title
Association de l'exploration minière du Québec - French
Document opens in new tab
September 12, 2022
Title
Andrew Ramcharan
Document opens in new tab
September 11, 2022
Title
Edson Ribeiro (The Committee for Mineral Reserves International Reporting Standards)
Document opens in new tab
September 11, 2022
Title
Guy Desharnais
Document opens in new tab
September 9, 2022
Title
Kelly Stark-Anderson (Dundee Precious Metals)
Document opens in new tab
September 9, 2022
Title
Flyn McCarthy, Andrea Tylczak (SySEne Consulting Inc.)
Document opens in new tab
September 9, 2022
Title
Stella Searston
Document opens in new tab
September 8, 2022
Title
Stephen Hodgson (Hunter Dickinson Inc.)
Document opens in new tab
August 30, 2022
Title
Alistair Harrigan
Document opens in new tab
August 22, 2022
Title
Yuri Kinakin (Geoscientists Canada)
Document opens in new tab
August 15, 2022
Title
Sally Gillies, Paul Staples and Jared Dietrich (Ausenco Pty Ltd.)
Document opens in new tab
August 8, 2022
Title
Dr. Ted Eggleston
Document opens in new tab
July 27, 2022
Title
Carl G. Verley
Document opens in new tab
July 13, 2022
Title
Eric Caba (Bear Creek Mining Corporation)
Document opens in new tab
July 13, 2022
Title
Nigel Fung
Document opens in new tab
July 13, 2022
Title
Association of Professional Engineers and Geoscientists of Alberta
Document opens in new tab
July 13, 2022
Title
WATT Capital
Document opens in new tab
July 13, 2022
Title
Dean D. Turner
Document opens in new tab
July 13, 2022
Title
Trevor Allen (Orano)
Document opens in new tab
July 13, 2022
Title
Scott Sharpe, Darren Koningen and Scott Zelligan
Document opens in new tab
July 13, 2022
Title
Arik Collins
Document opens in new tab
July 12, 2022
Title
Micon UK
Document opens in new tab
July 12, 2022
Title
Zhongxin Guo (China Gold International Resources Corp. Ltd.)
Document opens in new tab
July 11, 2022
Title
Micheline Caron (L’Association minière du Québec) - French
Document opens in new tab
July 11, 2022
Title
Steve King
Document opens in new tab
July 11, 2022
Title
Radoslav Vukas
Document opens in new tab
July 7, 2022
Title
R. Tim Henneberry
Document opens in new tab
July 5, 2022
Title
Claude Duplessis (GoldMinds Geoservices Inc.)
Document opens in new tab
July 5, 2022
Title
Thomas A. Herbert (Lampl Herbert Consultants, Inc.)
Document opens in new tab
July 4, 2022
Title
Ken Kuchling (KJ Kuchling Consulting Ltd.)
Document opens in new tab
July 4, 2022
Title
Greg Mosher
Document opens in new tab
June 29, 2022
Title
Mark Wittrup (Clifton Engineering Group)
Document opens in new tab
June 18, 2022
Title
Geoffrey Chin
Document opens in new tab
April 16, 2022
Title
Lindsay Newland Bowker (World Mine Tailings Failures)
Document opens in new tab
Comments Received (comment period due July 13, 2022 )
Date
Comment Letters
June 26, 2022
Title
Paul Tim Whillans
Document opens in new tab
June 21, 2022
Title
Brian Abraham (PDAC securities committee)
Document opens in new tab
June 20, 2022
Title
Jean-Marc Lacoste and David Langlois (Monarch Mining Corporation)
Document opens in new tab
June 19, 2022
Title
Chilean Comision Minera
Document opens in new tab
June 15, 2022
Title
Dr. Gilles Arseneau (ARSENEAU Consulting Services)
Document opens in new tab
June 15, 2022
Title
Mike Makarenko, Gord Doerksen and Richard Goodwin (JDS Energy & Mining Inc.)
Document opens in new tab
June 9, 2022
Title
Paul Tucker (Bantrel Co.)
Document opens in new tab
June 1, 2022
Title
Michael Blair
Document opens in new tab
May 3, 2022
Title
Peter A. Ronning
Document opens in new tab
May 2, 2022
Title
Peter Bell
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 September 13, 2022 )
Comments Received (comment period due July 13, 2022 )