Companies


Pre-Filings


Before making a formal application for exemptive relief, a company may wish to submit a pre-filing. The purpose of a pre-filing is to enable a company to consult with staff of the regulator on a specific issue to understand how securities legislation will be interpreted by the regulator.

For relief in multiple jurisdictions, refer to Part 4 (Pre-filings) of National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

For relief only in Ontario, submit a pre-filing to:

Applications Administrator
Ontario Securities Commission
20 Queen Street West, Suite 1903, Box 55
Toronto, Ontario
M5H 3S8

Fax: 416-593-8244
E-mail: applications@osc.gov.on.ca

An application pre-filing should be sent in paper format (together with filing fees) and by e-mail.

Prospectus pre-filings

Before filing a preliminary prospectus, a company may want to obtain a pre-filing interpretation or a waiver. This allows a company to consult with staff of the OSC regarding the interpretation of securities legislation as it relates to a specific issue in the context of the proposed offering.

For guidance on seeking a pre-filing interpretation or a waiver before filing a preliminary prospectus in multiple jurisdictions, refer to Part 8 (Pre-filings and Waiver Applications) of National Policy 11-202 Process for Prospectus Reviews in Multiple Jurisdictions.

If a company is seeking a pre-filing interpretation or a waiver before filing a preliminary prospectus only in Ontario, it should submit a pre-filing or waiver request to:

Applications Administrator
Ontario Securities Commission
20 Queen Street West, Suite 1903, Box 55
Toronto, Ontario
M5H 3S8

Fax: 416-593-8244
E-mail: applications@osc.gov.on.ca

A pre-filing or waiver request should be sent in paper format (together with filing fees) and by e-mail.

For more information: