Get the free 31-103F1 - Calculation of Excess Working Capital F ...

Note: [13 Sep 2023] The following is a consolidation of 31103F1. It incorporates amendments to this document that came into effect on May 31, 2013, September 22, 2014, January 11, 2015, December 4,

How to fill out 31-103f1 - calculation of

How to fill out 31-103f1 - calculation of

1. To fill out form 31-103f1 - calculation of, follow these steps: 1. Start by entering the relevant information in the designated fields, such as the name and registration number of the firm or individual for whom the calculation is being made.
2. Proceed to provide details about the accounting period for which the calculation is being prepared, such as the start and end dates.
3. Next, input the total assets under management (AUM) as of the end of the accounting period, considering all relevant classes of securities or other assets.
4. Calculate the total revenue earned during the accounting period, including all fees, commissions, and other sources of income.
5. Deduct any expenses incurred during the same period that are directly related to the management of assets or provision of investment advice.
6. Determine the adjusted revenue by subtracting the deductable expenses from the total revenue.
7. Calculate the trading revenue (if applicable) by considering the gains and losses arising from trading securities or derivatives.
8. Determine the net revenue by subtracting the trading revenue from the adjusted revenue.
9. Complete the remaining fields, such as indicating whether the firm is a portfolio manager, dealer, or both.
10. Finally, certify the accuracy of the information provided and ensure all necessary attachments are included.
11. Remember to review the instructions and guidelines provided by the regulatory authority before completing the form.

Who needs 31-103f1 - calculation of?

1. The 31-103f1 - calculation of form is required by financial firms and individuals registered with regulatory authorities who are subject to reporting and disclosure obligations. This generally includes portfolio managers, dealers, or firms engaged in investment advice or asset management activities. Compliance with this requirement ensures transparency and consistency in reporting financial information and helps regulatory authorities monitor and evaluate the operations of registered firms.

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What is 31-103f1 - calculation of?

31-103f1 is a form used in Canada for the calculation of the registration fees and other related amounts owed by investment dealers and advisers under the regulations set forth by the securities regulatory authorities.

Who is required to file 31-103f1 - calculation of?

Investment dealers and advisers who are registered under the applicable securities legislation in Canada are required to file the 31-103f1 - calculation of form.

How to fill out 31-103f1 - calculation of?

To fill out the 31-103f1 form, registrants must accurately complete the financial information sections, including calculating registration fees based on their revenue and assets under management, and ensure all required supporting documentation is attached.

What is the purpose of 31-103f1 - calculation of?

The purpose of the 31-103f1 form is to provide regulatory authorities with a clear and detailed accounting of the financial obligations of registered investment dealers and advisers, ensuring compliance with applicable registration requirements.

What information must be reported on 31-103f1 - calculation of?

The 31-103f1 requires reporting of financial data such as revenue, assets under management, and any applicable fees owed based on the registrant's business activities during the reporting period.