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OSC Staff Notice 41702 (Revised) Prospectus Practice Directive #1 Personal information forms and other procedural matters regarding preliminary prospectus filings First published April 1, 2011, revised
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Individuals or entities who are required to comply with the regulations outlined in OSC Staff Notice 41-702.
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Those who are involved in securities trading or market activities in Ontario and fall under the jurisdiction of the OSC.
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What is osc staff notice 41-702?
OSC Staff Notice 41-702 is a document issued by the Ontario Securities Commission (OSC) that provides guidance on certain regulatory requirements.
Who is required to file osc staff notice 41-702?
Investment firms, portfolio managers, exempt market dealers, and other registrants in Ontario may be required to file OSC Staff Notice 41-702.
How to fill out osc staff notice 41-702?
OSC Staff Notice 41-702 can be filled out electronically or in paper form, following the specific instructions provided by the OSC.
What is the purpose of osc staff notice 41-702?
The purpose of OSC Staff Notice 41-702 is to ensure compliance with regulatory requirements and enhance transparency in the securities industry.
What information must be reported on osc staff notice 41-702?
OSC Staff Notice 41-702 may require reporting of financial information, client data, compliance measures, and other relevant details.
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