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Securities Law

Determine Application Type

What type of application should I file?

If you only require relief in British Columbia, you should file a local application. Refer to BC Policy 45-601 for guidance on how to file a local application.

Determine what information must be included with your local exemption application.

If you require relief in multiple jurisdictions, you should file you application under National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions. This policy describes the process for filing and review of applications for exemptive relief in more than one Canadian jurisdiction. It contemplates four types of applications.

You should file this application if:

  • You are seeking relief that is covered by Multilateral Instrument 11-102 Passport System (MI 11-102)
  • You require relief in at least two jurisdictions
  • If your principal jurisdiction is a jurisdiction other than Ontario, you do not require relief in Ontario

You may also file a passport application if your principal regulator is Ontario and you require relief in Ontario and at least one other jurisdiction. You are only required to file your passport application and pay fees with your principal regulator. Refer to sections 3.2 and 5.2(1) of NP 11-203 for further guidance on filing passport applications.

You should file this application if

  • You are seeking relief that is covered by MI 11-102
  • Your principal regulator is a jurisdiction other than Ontario
  • You require relief in Ontario and at least one other jurisdiction

You must file your dual application and pay fees only with your principal regulator and the Ontario Securities Commission. Refer to sections 3.3 and 5.2(2) of NP 11-203 for further guidance on filing dual applications.

You should file this type of application if

  • You are seeking relief that is outside the scope of MI 11-102
  • You require relief in at least two jurisdictions

You must file your coordinated review application and pay fees with your principal regulator and with each regulator in any other jurisdiction where relief is required. Refer to section 3.4 and 5.2(3) of NP 11-203 for further guidance on filing coordinated review applications.

You should file this type of application when you need multiple heads of relief, some of the relief is outside the scope of MI 11-102 and other relief is covered by MI 11-102, In this situation, you will follow the process for both a coordinated review application and either a passport application or dual application. Refer to section 3.5 of NP 11-203 for further guidance.

Determine what information is required if you are applying for relief in more than one jurisdiction under National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.