NI 94-102 went into force on July 3, 2017. Form 94-102F3 is to be completed by a regulated clearing agency that receives customer collateral in order to comply with its reporting obligations to the OSC under section 43 of NI 94-102.
On an on-going basis, under NI 94-102, section 43 requires a regulated clearing agency that receives customer collateral to electronically deliver a completed Form 94-102F3 to the OSC within 10 business days of the end of each calendar month.
Please see section 43 of NI 94-102 as well as Part 7 in the related Companion Policy for additional information on the reporting requirements, regarding customer collateral, for a regulated clearing agency.
Terms defined in NI 94-102 and used here have the meanings attributed to those terms in NI 94-102.
Please also refer to the OSC’s Electronic Filing Portal Filing Instructions available here.
Please mark the form as “initial” unless the form is being resubmitted to correct or replace a form previously delivered for a reporting period. If the form is being resubmitted to correct or replace a form previously delivered for a reporting period, please mark “amendment” and provide the Submission ID of the report that is being amended.
When you successfully submit your Form 94-102F3, a copy of the delivered form showing a submission ID number and a date and time stamp will show up on your screen. Print this copy of the delivered form and have it signed by the authorized person delivering the form and keep the signed copy of the delivered form for your records.
Please refer to the OSC’s Electronic Filing Portal Filing Instructions available here.
If unanticipated technical difficulties (such as the OSC website or the form being unavailable) prevent you from delivering a form required under NI 94-102, you are still responsible for delivering any required forms in accordance with NI 94-102. Please see section 3 of OSC Rule 11-501 Electronic Delivery Of Documents To The Ontario Securities Commission for further instructions and applicable timelines.
In addition to sending the document by email, a copy must be transmitted through the OSC’s electronic filing portal as soon as practical after the unanticipated technical difficulty has been resolved.
If you have any questions about NI 94-102 or how to complete and submit Form 94-102F3, please call the OSC's Inquiries and Contact Centre.
Technical assistance will be available on any business day between the hours of 8:30 a.m. and 5:00 p.m. Eastern Time.