2017 OSC Capital Markets Participation Fees - Registrant firms

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Subject: 2017 OSC Capital Markets Participation Fees - Registrant firms

This e-mail is being sent to firms registered in Ontario (including the firms’ agents for service contacts) and to subscribers of the OSC’s Registrant Outreach program. 

The following 2017 participation fee calculations are now updated and available on the OSC’s website:

  • Form 13-502F4 Capital Markets Participation Fee Calculation
  • Form 13-503F1 (Commodity Futures Act) Participation Fee Calculation

Please note the following important dates for all firms:

  • December 01 - Deadline to file the annual participation fee calculation
  • December 31 - Deadline to pay the annual participation fees

Please note: 

· Financial year: All firms must use revenues from their financial year ending in 2017 to calculate their 2017 participation fees. This may require some firms with late financial year ends to estimate revenues when completing their participation fee calculation. 

· Payment of participation fee:

    • For registrant firms with a business location in Canada, payment of participation fees is automatically withdrawn from the firm’s Payments Canada bank account recorded on the National Registration Database (NRD) on the first business day in January.
    • For all other firms, payment of the participation fee must be made by cheque or wire transfer. Attached are cheque and wire transfer payment instructions, along with additional payment details that must be provided with the payment.

For further information, please use the following references:

1. OSC Rule 13-502 Fees 
2. OSC Rule 13-503 (Commodity Futures Act) Fees
3. Participation Fees Calculation webinar and presentation slide deck
4. Link to access the participation fee calculations (Form 13-502F4, Form 13-502F5, Form 13-503F1 and Form 13-503F2)
5. Link to OSC’s Registrant Search to identify the firm’s National Registration Database (NRD) number

If you have any questions, please contact us by calling 1-877-785-1555 or 416-593-8314 or e-mailing [email protected].