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October 30, 2014

OSC Capital Markets Participation Fees Calculation

This e-mail is being sent to firms registered in Ontario, to firms relying on an exemption from registration in Ontario (including agents for service) and to subscribers of the OSC's Registrant Outreach program.

With the December 1 deadline fast approaching, we will be offering guidance on how to complete your Ontario capital markets participation fee forms, at an upcoming registrant outreach seminar and webinar.

Please note the following important dates:

November 4 - Webinar - Participation Fees Calculation; key issues and common errors
November 6 - In-person Seminar - Participation Fees Calculation; key issues and common errors
December 1 - Participation fee forms due (except unregistered Investment Fund Managers)
December 31 - Participation fees due (except unregistered Investment Fund Managers)

Late fees will apply for forms and participation fees submitted after the due dates.

Please note, most firms will use the EXACT SAME reference fiscal year to calculate their participation fees as LAST YEAR. Some exceptions apply.

We encourage you to sign up for our seminar or webinar for more details (Registrant Outreach November schedule of events).

For further information, please use the following references:

1.OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees.

2.Guidance for changes in calculating capital markets participation fees by registrant firms, unregistered exempt international firms and unregistered investment fund managers effective April 1, 2013.

3.OSC Staff Notice 33-741 Report on the Results of the Reviews of Capital Markets Participation Fees for guidance on suggested practices in the calculation of capital markets participation fees.

If you have further questions, please contact us by calling 1-877-785-1555 or 416-593-8314 or e-mailing