Industry


Pre-Filings


Application Pre-Filings

Before making a formal application for exemptive relief, a company may wish to submit a pre-filing. The purpose of a pre-filing is to enable a company to consult with staff of the regulator on a specific issue to understand how securities legislation will be interpreted by the regulator.

For relief in multiple jurisdictions, refer to Part 4 (Pre-filings) of National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

Prospectus pre-filings

Before filing a preliminary prospectus, a company may want to obtain a pre-filing interpretation or a waiver. This allows a company to consult with staff of the OSC regarding the interpretation of securities legislation as it relates to a specific issue in the context of the proposed offering.

For guidance on seeking a pre-filing interpretation or a waiver before filing a preliminary prospectus in multiple jurisdictions, refer to Part 8 (Pre-filings and Waiver Applications) of National Policy 11-202 Process for Prospectus Reviews in Multiple Jurisdictions.

How to File a Pre-file

Effective February 19, 2014, application and prospectus pre-filings must be transmitted to the Ontario Securities Commission electronically. Refer to the OSC's electronic filing portal for more instructions.

For more information: