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ARTICLE · 17 MARCH 2014

OSC Summary Report For Investment Funds: Trends And Tips

Norton Rose Fulbright Canada LLP
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The Ontario Securities Commission (OSC) recently released its annual Summary Report for Investment Fund Issuers, providing an overview of key policy initiatives, emerging issues and compliance reviews concerning the investment fund industry. This

CanadaCorporate/Commercial Law
Michael Bunn
Michael Bunn
Cathy Singer
Cathy Singer
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The Ontario Securities Commission (OSC) recently released its annual Summary Report for Investment Fund Issuers, providing an overview of key policy initiatives, emerging issues and compliance reviews concerning the investment fund industry. This legal update summarizes the key trends and provides tips for investment fund issuers.

Electronic delivery of documents

  • Trend: In keeping with the trend to shift from paper filings to electronic filings, OSC Rule 11-501 – Electronic Delivery of Documents to the Ontario Securities Commission, makes it mandatory for market participants to deliver the following documents electronically: (i) reports of exempt distributions, (ii) applications for exemptive relief and notices, (iii) pre-files or waiver applications (for prospectuses or applications), and (iv) forms, notices and other documents required under applicable securities rules that are not filed through SEDAR, SEDI or NRD.

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