Industry

Derivatives Participant Forms and Documents

The following forms and documents are required to be completed and filed with the Ontario Securities Commission (OSC) under the Securities Act (Ontario). You may need to consider whether you are, or your firm is, required to submit information with other jurisdictions.

For further filing instructions in Ontario please refer to instruction links below and the OSC's electronic filing portal.

Form Description Submission Method

Form 94-101F1 Intragroup Exemption

Form to be delivered by local counterparties relying on intragroup exemption in s. 7 of NI 94-101

Complete the relevant form and submit a copy online.

Instructions here.

Form 94-101F2 Derivatives Clearing Services

Form to be delivered by regulated clearing agencies identifying derivatives or classes of derivatives

Complete the relevant form and submit a copy online.

Instructions here.

Form 94-102F1 Customer Collateral Report: Direct Intermediary

Form to be delivered by direct intermediaries receiving customer collateral

Complete the relevant form and submit a copy online.

Instructions here.

Form 94-102F2 Customer Collateral Report: Indirect Intermediary

Form to be delivered by indirect intermediaries receiving customer collateral

Complete the relevant form and submit a copy online.

Instructions here.

Form 94-102F3 Customer Collateral Report: Regulated Clearing Agency

Form to be delivered by regulated clearing agencies receiving customer collateral

Complete the relevant form and submit a copy online.

Instructions here.