This online submission process should be used by firms to submit the following:
- Form 31-103F1 Calculation of Excess Working Capital;
- Annual financial statements, interim financial information and other financial information required by sections 12.12, 12.13 and 12.14 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103);
- Notice to the regulator of a repayment of a subordinated loan or termination of a subordination agreement pursuant to section 12.2 of NI 31-103;
- Notice to the regulator of any change in, claim made under, or cancellation of any insurance policy pursuant to section 12.7 of NI 31-103;
- Form 31-103F4 Net Asset Value Adjustments; and
- A correction or additional information to previous submission.
Please note that each form must be completed in its entirety. There is no option to save a draft copy of the form.
Prior to completing the form and attaching the required financial information, please ensure you have the following information readily available:
To use this application, please use one of the following supported browsers:
- Internet Explorer 8 or later
- Firefox 20 or earlier
Annual and Interim submissions:
- Firm's National Registration Database (NRD) number.
- Electronic copy of the audited financial statements or unaudited interim financial information, as applicable.
- Form 31-103F1 Calculation of Excess Working Capital (Form 31-103F1):
- Details required to complete each line item of Form 31-103F1.
- Exchange rates used to convert to Canadian dollars, if applicable.
- Electronic copy of executed subordination agreement(s), if not previously delivered to the regulator.
- Breakdown of market risk calculation, if applicable.
- For firms with an exemption available:
- For a firm that is registered as a dealer or investment fund manager and is also a member of the Mutual Fund Dealers Association (MFDA) relying on the exemption available under subsections 12.12(2.1) or 12.14(5) of NI 31-103, an electronic copy of the completed MFDA Form 1 MFDA Financial Questionnaire and Report.
- For a firm that is registered as an investment fund manager and is also a member of the Investment Industry Regulatory Organization of Canada (IIROC) relying on the exemption available under subsection 12.14(4) of NI 31-103, an electronic copy of the completed IIROC Form 1 Joint Regulatory Financial Questionnaire and Report.
- For firms exempt from delivering Form 31-103F1, an electronic copy of the equivalent.
Subordinated long-term related party loans:
- For notification to the regulator of a repayment of a subordinated loan or termination of a subordination agreement pursuant to section 12.2 of NI 31-103:
- Where applicable, details of the subordinated loan, including name of lender, amount subordinated, date of the subordination agreement, date of original loan agreement, amount of repayment and proposed date of repayment or termination.
- Updated Form 31-103F1 and interim financial information to demonstrate that the firm will continue to meet the excess working capital requirements after the repayment or termination.
- For notification to the regulator of any change in, claim made under, or cancellation of any insurance policy pursuant to section 12.7 of NI 31-103:
- Details of the claim, if applicable.
- Details of the change in policy, including the policy number, policy expiry date and an electronic copy of the updated policy, if applicable.
- Details of the cancellation of a policy, including the policy number, policy expiry date and the date of termination, if applicable.
- Total revenues, expenses and net comprehensive income for the reporting period
- Total assets under management
- Details of any capital deficiencies during the reporting period
- Other information the firm would like to disclose as part of its submission.
- Submission confirmation number previously issued (for firms correcting information or providing additional information for previous submissions)
Helpful resources for registrant firms:
If you require assistance, please contact the Ontario Securities Commission at 1-877-785-1555 during regular business hours on Monday to Friday from 8:30 a.m. to 5:00 p.m. (Eastern Time).