This year, the annual filings for Form 13-502F4 Capital Markets Participation Fee Calculation are due by November 1, 2024. The form must be completed by firms registered under either or both the Securities Act (Ontario) and the Commodity Futures Act (Ontario), as well as by unregistered capital markets participants. Your firm may also receive a direct reminder from the Ontario Securities Commission (OSC) shortly.
As you are aware, there have been changes to the rules related to the calculation and payment of capital markets participation fees, as well as the accelerated filing deadline for the related fee forms. Information in the forms must be based on the latest audited financial statements of your firm, available at the time of filing. A specified individual must certify the form to attest to its completeness and accuracy. Registrants with bank account information already recorded on the NRD will have their capital market participation fees automatically withdrawn by the OSC from the firm's bank account. Additional information with respect to common errors in the calculation can be found in OSC Staff Notice 33-756 Registration, Inspections and Examinations Division Summary Report for Dealers, Advisers and Investment Fund Managers.
Form 13-502F4s can be filed using the following portal link.
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