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Chapter 5 Rules and Policies 5.1.1 OSC Rule 13502 Fees and Companion Policy 13502CP Fees ONTARIO SECURITIES COMMISSION RULE 13502 FEES TABLE OF CONTENTS PART 1 INTERPRETATION 1.1 Definitions 1.2 Interpretation

How to fill out osc rule 13 502

How to fill out OSC Rule 13 502:

1. Read the requirements: Familiarize yourself with the specific guidelines and instructions outlined in OSC Rule 13 502. Understanding the requirements is crucial to accurately completing the form.
2. Gather necessary information: Collect all relevant information and documentation that may be required to fill out the form. This could include personal details, financial information, and any supporting documentation.
3. Start with basic information: Begin by filling out the basic information section of the form, such as your name, contact details, and any identification numbers requested.
4. Provide relevant details: Fill in the sections or fields that ask for specific details related to the purpose of requiring OSC Rule 13 502. This could involve sharing information regarding your financial standing, investments, or any other relevant information as per the requirements.
5. Double-check for accuracy: Review the entire form once you have completed filling it out. Pay close attention to ensure that all information provided is accurate and up-to-date. Double-check for any errors or missing fields that need to be completed.
6. Sign and date the form: Once you are satisfied with the accuracy and completeness of the form, sign and date it in the designated areas. Make sure to comply with any additional instructions provided regarding signing and dating.
7. Submit the form: Finally, follow the instructions provided on how to submit the form. This could involve delivering a physical copy to a specific location or submitting it electronically through a designated website or email address.

Who needs OSC Rule 13 502?

1. Individuals involved in the securities industry: OSC Rule 13 502 may be relevant for individuals who are involved in the securities industry, including brokers, dealers, financial advisors, and investment professionals.
2. Compliance officers and legal professionals: Compliance officers and legal professionals within the securities industry may also need to be aware of and adhere to OSC Rule 13 502.
3. Regulators and oversight agencies: Regulatory bodies and oversight agencies involved in monitoring and enforcing securities laws and regulations may need to refer to OSC Rule 13 502 as part of their responsibilities.
4. Investors: Although not directly applicable to investors, understanding OSC Rule 13 502 can benefit individuals who are interested in the securities market, as it promotes transparency, disclosure, and compliance within the industry.

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What is osc rule 13 502?

OSC Rule 13-502 is a rule implemented by the Ontario Securities Commission that requires certain individuals or entities to report their ownership or control of securities.

Who is required to file osc rule 13 502?

Individuals or entities who meet certain ownership or control thresholds set out in the rule are required to file OSC Rule 13-502.

How to fill out osc rule 13 502?

OSC Rule 13-502 can be filled out online through the OSC's Electronic Filing Portal. The form requires information on the securities being reported, the filer's relationship to the issuer, and any exemptions claimed.

What is the purpose of osc rule 13 502?

The purpose of OSC Rule 13-502 is to increase transparency in the securities market by requiring the disclosure of significant holdings of securities.

What information must be reported on osc rule 13 502?

The information required to be reported on OSC Rule 13-502 includes details of the securities being reported, the filer's relationship to the issuer, and any claimed exemptions.

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