OSC | Dealers, Advisers and Investment Fund Managers - Fees

Dealers, Advisers and Investment Fund Managers

Fees

Different types of fees apply to firms and individuals when they submit most applications.

Fees under the Securities Act (Ontario) are set out in OSC Rule 13-502 Fees. Fees under the Commodity Futures Act (Ontario) are set out in OSC Rule 13-503 Fees.

Late fees may apply when a firm does not pay fees on time or does not submit required documents on time.

Fees can be paid by electronic funds transfer through the National Registration Database (NRD). Fees can be paid by cheque if a firm has been granted an exemption from the requirement to pay fees through NRD under Part 4 of National Instrument 31-102 National Registration Database.

• Who Needs to Register
• Getting Registered
• Ongoing Requirements
• OSC Compliance Reviews
• Changes to Registration
• Asking for Relief
• Opportunity to Be Heard
• Forms
• Fees
• Types of Fees
• If Fees are not Paid
• Information on IFRS