|
PART 1 -
PROCEDURE AND RELATED MATTERS |
|
General |
|
11-201 |
National Policy |
Delivery of Documents by Electronic Means
Amendments Consolidated
version |
Jan 1, 2000.
Feb 14, 2003 |
States the views of the CSA on how obligations imposed by securities legislation to deliver documents can be satisfied by electronic means. |
|
11-305 |
CSA Staff Notice |
Withdrawal
of CSA Staff Notice 42-301 and 52-302 |
Jan 16, 2004 |
Gives notices of withdrawal of
CSA Staff Notices 42-301and 52-302 Dual Reporting of
Financial Information effective March 30, 2004. Dual
reporting issuers should refer to NI 52-107. |
|
11-306 |
CSA Notice |
Extension
of Comment Period for Uniform Securities Act and Model
Securities Administration Act |
Feb 20, 2004 |
Gives notice that the period
for commenting on the draft Uniform Securities Act and
model Securities Administration Act has been extended for
60 days until May 17, 2004. |
|
11-501 |
Saskatchewan Instrument |
Conflicts
of Interest
Form 11-501F1 Initial Undertaking
Form 11-501F2 Annual Certificate of Compliance
Form 11-501F3 Portfolio Statement
|
May 9, 2003 |
Sets out
conflict of interest rules that govern Commission members and
employees who administer the provisions of The Securities
Act, 1988. |
|
11-501CP |
Companion Policy |
Companion
Policy 11-501CP |
May 9, 2003 |
Companion policy to Local
Instrument 11-501 |
|
11-701 |
Local Staff Notice |
Commission Regulatory Instruments |
Nov 27, 1997.
Amended July 13, 2002. |
Describes the nature and use of regulatory instruments, including local and national instruments, general exemption orders, policy statements and staff notices. |
|
11-702 |
Local Staff Notice |
Numbering System for National and Local Regulatory Instruments |
November 27, 1997. |
Describes the numbering system under which numbers are assigned to national and local instrument in Saskatchewan. |
|
11-901 |
General Recognition Order |
Recognition Order |
July 7, 1998.
Amended September 5, 2003
and March 15, 2004. |
Sets out the Commission's recognition of certain exchanges, jurisdictions and self-regulatory organizations under certain provisions of the Act. |
|
11-902 |
Recognition Order |
Recognition of the Investment Dealers Association of Canada |
July 17, 2000.
Amended April 17, 2003.
|
Recognizes the Investment Dealers Association of Canada as a self-regulatory organization, subject to certain conditions. |
|
11-903 |
Recognition Order |
Recognition of the Mutual Fund Dealers Association of Canada |
Feb 13, 2001
Amended and restated on
April 16, 2004
|
Recognizes the Mutual Fund Dealers Association of Canada as a self-regulatory organization, subject to certain terms and conditions. |
|
11-904 |
Approval Order |
Approval of the Canadian Investor Protection Fund |
September 13, 2002 |
Approves the Canadian Investor Protection Fund pursuant to subsection 23(1) of The Securities Regulations on certain conditions. |
|
TOP OF PAGE Applications |
|
12-201 |
National Policy |
Mutual Reliance Review System for Exemptive Relief Applications |
Jan 1, 2000.
Amended July 15, 2002.
Amended August 6, 2004. |
Establishes a mutual reliance review system for exemptive relief applications. |
|
12-302 |
CSA Staff Notice |
National Policy 12-201 Mutual Reliance Review System for Exemptive Relief Applications ("ERA")- ERA and Applications for Approvals or Exemptions under National Policy No. 39 "Mutual Funds" |
November 19, 1999.
|
Communicates the view of CSA staff on how the MRRS for Exemptive Relief Applications relates to applications for approvals and exemptions made under National Policy 39 Mutual Funds. |
|
12-304 |
CSA Staff Notice |
Mutual Reliance Review System for Exemptive Relief Applications Frequently Occurring Issues |
August 11, 2000. |
Gives guidance on procedures and issues under the Mutual Reliance Review System for Exmeptive Relief Aplications. |
|
12-306 |
CSA Staff Notice |
Exemptive Relief Applications and Year End |
September 28, 2001. Expires December 31, 2001. |
Gives notice of timing deadlines for exemption applications before December, 31, 2001. |
|
12-307 |
CSA Staff Notice |
Ceasing to be a Reporting
Issuer under the MRRS for Exemptive Relief Applications |
Sept 12, 2003 |
Sets out a revised procedure
for applications to cease to be a reporting issuer. |
|
12-601 |
Local Policy Statement |
Applications to the Saskatchewan Securities Commission
|
May 3, 1990.
|
Sets out the procedure for applications to the Commission for exemptions, waivers and approvals. |
|
12-602 |
Local Policy Statement |
Procedure on Hearings and Reviews Before the Commission |
December 6, 1990.
Amended February 16, 1996 and July 11, 2003. |
Sets out the procedure the Commission follows during hearings. |
|
12-603 |
Local Policy Statement |
System for Expedited Review of Exemption Applications
|
January 16, 1995. |
Sets out a system to streamline the process of applying to the Commission for exemptive relief under specified provisions of the Act where the application is also being made in a principal jurisdiction, but is not being made under the MRRS for Exemptive
Relief. |
|
TOP OF PAGE
Filings with Securities Regulatory Authority |
|
13-101 |
National Instrument |
System for Electronic Document
Analysis and Retrieval (SEDAR) |
In effect nationally Jan 1, 1997. In Saskatchewan Jan 17, 2000.
Amended September 30, 2003.
Amended March 30, 2004 |
Requires issuers to transmit certain documents to securities regulatory authorities in electronic format using the System for Electronic Document Analysis and Retrieval known as SEDAR. Sets out certain requirements for filing on SEDAR. |
|
13-101 |
|
SEDAR Filer Manual Version 7 |
September 4, 2001 |
|
|
13-301 |
CSA Staff Notice |
SEDAR - Use of Incorrect Document Formats |
May 15, 1998. |
Reminds issuers of the acceptable formats for filing documents on SEDAR. |
|
13-302 |
CSA Staff Notice |
Notice of Changes to SEDAR Filer Software |
October 2, 1998. |
Sets out the changes and enhancements to SEDAR with Release 5 in October, 1998. |
|
13-303 |
CSA Staff Notice |
SEDAR Operational Changes |
December 11, 1998. |
|
|
13-304 |
CSA Staff Notice |
Changes to SEDAR Filing Service Charges |
March 1, 1999. |
Gives notice of increases of SEDAR filing and service charges effective March 1, 1999. |
|
13-305 |
CSA Staff Notice |
SEDAR Changes for Mutual Reliance Review Systems for Prospectuses and AIFs |
September 3, 1999 |
Outlines the changes made to SEDAR to accommodate MRRS filings and to provide instructions for making non-MRRS filings on SEDAR |
|
13-306 |
CSA Staff Notice |
Guidance for SEDAR Users |
April 30, 2001 |
Provides guidance to SEDAR users on specified issues. |
|
13-307 |
CSA Staff Notice |
Notice of Amendments to the SEDAR Filer Manual |
August 24, 2001. |
Gives notice of the new SEDAR Filer Manual Version 7.0 |
|
13-308 |
CSA Staff Notice |
Increases to SEDAR Annual Filing Service Charges |
November 9, 2001 |
Gives notice that SEDAR Annual Filing Service Charges will increase. |
|
13-311 |
CSA Staff Notice |
Changes
to SEDAR Annual Filing Charges |
April 11, 2003 |
Gives notice that SEDAR annual
filing service charges will increase to include SEDI annual
charges. |
|
13-313 |
CSA Staff Notice |
Securities
Regulatory Authority Closed Dates 2004 |
Feb 20, 2004 |
Sets out the list of closed
dates of the securities regulatory authorities for 2004. |
|
13-701 |
Local Staff Notice |
Refund of Fees |
January 18, 1993. |
Describes the approach the Director will take on recommending refunds of fees. |
|
13-702 |
Local Staff Notice |
Access to Commission Records |
June 29, 2000. |
Sets out that Local Policy 13-601 is rescinded, and that requests for records will be dealt with on a case by case basis. |
|
TOP OF PAGE Definitions |
|
14-101 |
National Instrument |
Definitions |
In effect nationally April 1, 1997. In Saskatchewan January 17, 2000. |
Sets out the definitions of terms used in more than one national instrument for the purpose of interpreting all national instruments. |
|
14-101 |
National Instrument |
Amendments to
National Instrument 14-101 |
In effect December 31, 2002 |
Amends certain provisions of National Instrument 14-101. |
|
14-501 |
Local Instrument |
Definitions |
January 17, 2000. |
Defines certain terms used in Commission regulations. |
