October 23, 2020 is the deadline to provide feedback on the self-regulatory organization (SRO) framework consultation paper.
Learn more about what the ASC is doing to support market participants and investors.
You can work out how much you can expect to pay by using our simple fee calculator. It calculates the base, notice of proceeds and late filing fees for Form 45-106F1 Report of Exempt Distribution filings in Alberta. For more information about the fees for reports of exempt distribution, please refer to section 11 of ASC Rule 13-501 Fees.
Reporting issuer - Refer to the definition of reporting issuer in paragraph 1(ccc) and section 145 of the Securities Act (Alberta), R.S.A. 2000, c. S-4, as amended from time to time. Typically, a reporting issuer has securities listed on a recognized exchange or has received a final receipt for a prospectus.
Investment fund - a mutual fund or a non-redeemable investment fund that invests the proceeds in securities and other assets for the investment benefit of its security holders.
A mutual fund or a non-redeemable investment fund.
2.3 [Accredited investor] 2.10 [Minimum amount investment] 2.19 [Additional investment in investment funds] Get more details about prospectus exemptions under NI 45-106 and section 73.3 of the Securities Act (Ontario) [Accredited investor].
Gross proceeds realized in Alberta from the distributions for which the report is being filed.
Net proceeds - gross proceeds realized in Alberta from the distributions for which the report is being filed, less the gross redemptions that occurred during the distribution period covered by the report.
Calendar year end means December 31.
For multiple distributions being reported in one report, the earliest date that a distribution occurred.
The deadline for filing the report is 10 days after the distribution. If filing a report for distributions occurring on multiple dates, the filer must file the report no later than 10 days after the start date.
An investment fund issuer that is relying on the prospectus exemptions set out in subsection 6.2(2) of NI 45-106 may file the report on an annual basis, within 30 days of the calendar year end.
Date the filing is submitted electronically on SEDAR. In limited circumstances some issuers, typically foreign issuers, may have the option to file directly with the ASC.
The minimum fee amount of $200.
Greater of $200, and:
Additional late filing fee of $100 per calendar day, with a maximum of $1,000 per report.
However, for reporting issuer that is not an investment fund, a filing fee of $200. No proceeds fee applies for this issuer type.
This online fee calculator is for informational purposes only. The Alberta Securities Commission (ASC) shall not be liable for any differences between the actual fee and the estimate from use of this site. Click here to view full disclaimer.
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