Get Form 13-502f4 - Osc Gov On

Filling out FORM 13-502F4 - Osc Gov On is a crucial step for firms participating in capital markets in Ontario. This guide provides a clear, step-by-step approach to completing the form accurately and submitting it online for compliance with the Ontario Securities Commission.

Follow the steps to fill out the form correctly.

1. Press the ‘Get Form’ button to access the form and open it in your preferred online editor.
2. Enter the firm NRD number and legal name in the designated fields. This information identifies your firm with the Ontario Securities Commission.
3. Provide contact information for the Chief Compliance Officer, including their name, email address, phone number, and fax number. Accurate contact details are essential for communication.
4. Select the appropriate membership status for your firm by checking the applicable option. This will determine which parts of the form need to be completed.
5. Indicate whether the firm is providing a good faith estimate under section 3.2 of the Rule by selecting ‘Yes’ or ‘No’. If ‘No’, include the end date of the previous financial year.
6. Fill out the participation fee calculation section as per your firm's membership status. For IIROC members, provide total revenue figures from the Joint Regulatory Financial Questionnaire and complete the required calculations.
7. For MFDA members, follow the instructions in Part II and declare your financial information as specified.
8. If your firm qualifies as an unregistered capital markets participant, ensure that you complete Part III, detailing total revenue and relevant deductions.
9. Once all relevant sections are filled out, ensure that all figures are expressed in Canadian dollars and rounded to the nearest thousand as required.
10. Review all information carefully. The Chief Compliance Officer must certify the form by signing and dating it before submission.
11. Finally, save your changes, then download, print, or share the completed form as needed to complete your submission process.

Complete your documents online today for seamless compliance.