Registered firms, registered individuals and permitted individuals must keep the information they provide to the OSC up to date. This must be done by filing notices within the required time. See Forms for the forms required to notify the OSC of the different types of changes.
For example, changes to current employment information, including any dual employment or other outside business activities (for example, directorships, other professional activities and part-time employment) are required to be disclosed on the National Registration Database by filing a Notice to Change Item 10/11 – Current/Previous Employment Change.
Timelines for filing notices of changes to registration information are listed in Appendix A Summary of Notice Requirements in National Instrument 33-109 to Companion Policy 33-109CP Registration Information. These timelines apply to filings under the Securities Act (Ontario) and the Commodity Futures Act (Ontario).
Fees apply to certain changes. If a notice of change is submitted after the due date, a late fee may also apply. For more information, see Fees.
For more information:
- National Instrument 33-109 Registration Information
- OSC Rule 13-502 Fees (Securities Act (Ontario))
- OSC Rule 13-503 Fees (Commodity Futures Act (Ontario))