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PART 5 -
ONGOING REQUIREMENTS FOR ISSUERS AND INSIDERS |
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Disclosure General |
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51-101 |
National Instrument |
Standards
of Disclosure for Oil and Gas Activities
Amendments to National Instrument
Amendments to National Instrument
Amendments to National Instrument
|
In effect September 30, 2003
In effect
September 19, 2005
In effect December 30, 2005
In effect December 28, 2007 |
Sets out disclosure
requirements for oil and gas issuers. |
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Form
51-101F1 Statement of Reserves Data and Other Oil and
Gas Information
Amendment to Form 51-101F1 |
In effect December 28, 2007 |
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Form
51-101F2 - Report on Reserves Data by Independent Qualified
Reserves Evaluator
Amendment to Form 51-101F2
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In effect December 28, 2007 |
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Form
51-101F3 - Report of Management and Directors on Oil and
Gas Disclosure
Amendment to Form 51-101F3 |
In effect December 28, 2007 |
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51-101CP |
Companion Policy |
Standards
of Disclosure for Oil and Gas Issuers
List
of professional organizations which supercedes the list in
section 1.5(b)
Amendments to Companion Policy
Amendments to Companion Policy
|
In effect September 30, 2003
In effect January 19, 2004
In effect December 30, 2005
In effect December 28, 2007
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Companion Policy to NI 51-101 |
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51-309 |
CSA Staff Notice |
National
Instrument 51-101 Standards of Disclosure for Oil and
Gas Activities - Acceptance of Certain Foreign
Professional Boards as a "Professional
Organization"
|
In effect Jan 19, 2004.
Updated March 9, 2007. |
Gives notice that the CSA have
added the listed professional boards in the United States
to the list of professional organizations for the purposes
of NI 51-101. |
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51-313 |
CSA Staff Notice |
Frequently
Asked Questions about NI 51-101 Standards of Disclosure
for Oil and Gas Activities |
In effect April 8, 2004 |
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51-315 |
CSA Staff Notice |
Guidance
Regarding the Determination of Constant Prices for Bitumen
Reserves under National Instrument 51-101 Standards of
Disclosure for Oil and Gas Activities |
In effect Jan 20, 2005 |
Provides guidance as to how the
constant price used in estimating bitumen reserves and
related future net revenue should be determined under NI
51-101 in the absence of a published market for bitumen. |
|
51-316 |
CSA Staff Notice |
Continuous Disclosure
Review of Smaller Issuers |
In effect December 9, 2005 |
Summarizes the most frequent
deficiencies in the CD record of smaller issuers. |
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51-102 |
National Instrument |
Continuous Disclosure Obligations
Amendments to NI 51-102
Amendments to NI 51-102 (FOFI related)
Amendments
to NI 51-102
Amendments to NI 51-102
Amendments to NI 51-102 |
In effect March 30, 2004. Amended
December 30, 2005. Amended December 29, 2006.
In effect December 31, 2007.
In effect December 31, 2007
In effect March 17, 2008.
In effect July 4, 2008
In effect December 31, 2008 |
Prescribes the continuous
disclosure requirements that apply to reporting
issuers. |
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Form
51-102F1 Management's Discussion and Analysis
Amendments to Form 51-102F1
Amendments to form 51-102F1
|
In effect December 29, 2006
In effect December 31, 2007
In effect December 15, 2008 |
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Form 51-102F2 Annual Information Form
Amendments to Form 51-102F2
Amendments to form 51-102F2
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In effect December 30, 2005. In effect December 29, 2006
In effect December 31, 2007.
In effect March 17, 2008.
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Form
51-102F3 Material Change Report
Amendments to Form 51-102F3 |
In effect December 29, 2006
In effect, July 4, 2008 |
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Form
51-102F4 Business Acquisition Report
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In effect December 29, 2006 |
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Form
51-102F5 Information Circular
Amendments to Form 51-102F5
Amendments
to Form 51-102F5
Amendments to NI 51-102F5
|
In effect December 29, 2006
In effect December 31, 2007.
In effect March 17, 2008.
In effect December 31, 2008 |
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Form 51-102F6 Statement of Executive Compensation (in
respect of financial years ending on or after December
31, 2008) |
In effect December 31, 2008 |
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Form
51-102F6 Executive Compensation
Consequential amendments to Form 51-102F6 (in effect
March 2004) |
In effect December 29, 2006
In effect December 31, 2008 |
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51-102CP |
Companion Policy |
Continuous
Disclosure Obligations
Amendments to CP 51-102CP
Amendments to CP 51-102CP (FOFI related)
Amendments to CP 51-102CP
Amendments to 51-102CP |
In effect March 30, 2004
In effect December 31, 2007.
In effect December 31, 2007
In effect March 17, 2008
In effect July 4, 2008 |
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51-309 |
CSA Staff Notice |
National
Instrument 51-101 Standards of Disclosure for Oil and
Gas Activities - Acceptance of Certain Foreign
Professional Boards as a "Professional
Organization"
MRRS
Decision document dated Jan 6, 2004 |
In effect Jan 19, 2004.
Updated March 9, 2007. |
Gives notice that the CSA have
added the listed professional boards in the United States
to the list of professional organizations for the purposes
of NI 51-101. |
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51-311 |
CSA Staff Notice |
Frequently
Asked Questions Regarding NI 51-102 Continuous
Disclosure Obligations |
In effect March 26, 2004. Updated
April 23, 2004.
Updated June 18, 2004 |
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51-201 |
National Policy |
Disclosure Standards
Amendments to NP 51-201 |
In effect July 12, 2002
In effect December 31, 2007 |
Describes timely disclosure obligations for reporting issues and provides guidance on legislative prohibitions against selective disclosure. Also lists "best disclosure" practices and gives examples of types of information likely to be
material. |
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51-301 |
CSA Staff Notice |
Conversion of Corporate Issuers to Trusts |
In effect October 10, 1997. |
Sets out CSA staff's views on protection of investors' rights when reporting issuers reorganize their affairs so that their security holders become security holders of a trust. |
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51-304 |
CSA Staff Notice |
Report on Staff's
Review of Executive Compensation Disclosure |
In effect November 4, 2002 |
Reports findings of staff's review (May to September, 2002)
of issuers' executive compensation disclosure in management
information circulars. Provides guidance in complying
with disclosure requirements. |
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51-305 |
CSA Staff Notice |
Canadian Capital Markets Association - Corporate Actions
and Other Entitlements White Paper - October 2002 |
In effect November 29, 2002 |
Provides information and background to the Canadian Capital
Markets Association's White Paper on Corporate Actions and
Other Entitlements. |
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51-308 |
CSA Staff Notice |
Filing
of Management's Discussion and Analysis and National
Instrument 51-102 Continuous Disclosure Obligations |
In effect Dec 19, 2003 |
Provides guidance on complying
with MD&A requirements upon implementation of NI
51-102. |
|
51-309 |
CSA Staff Notice |
National
Instrument 51-101 Standards of Disclosure for Oil and
Gas Activities - Acceptance of Certain Forenign
Professional Boards as a "Professional
Organization"
MRRS
Decision document dated Jan 6, 2004 |
In effect Jan 19, 2004 |
Gives notice that the CSA have
added the listed professional boards in the United States
to the list of professional organizations for the purposes
of NI 51-101. |
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51-310 |
CSA Staff Notice |
CSA
Staff Notice 51-310 Report on Staff's Continuous
Disclosure Review of Income Trust Issuers |
In effect Feb 13, 2004 |
Reports the findings and
comments of CSA staff from the review of the continuous
disclosure records of 40 income trust issuers. |
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51-311 |
CSA Staff Notice |
Frequently
Asked Questions Regarding NI 51-102 Continuous
Disclosure Obligations |
In effect March 26, 2004. Amended
April 23, 2004. Revised Feb 11, 2005. Revised
May 4, 2007 |
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51-312 |
CSA Staff
Notice |
CSA
Staff Notice 51-312 Harmonized Continuous Disclosure
Review Program |
In effect July 16, 2004 |
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51-313 |
CSA Staff Notice |
Frequently
Asked Questions about NI 51-101 Standards of Disclosure
for Oil and Gas Activities |
In effect April 8, 2004.
To be repealed effective December 28, 2007. |
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51-314 |
CSA Staff Notice |
Retirement
Benefits Disclosure |
In effect January 14, 2005 |
Provides
guidance to issuers to include in Statements of Executive
Compensation disclosure of retirement benefits. |
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51-315 |
CSA Staff Notice |
Guidance
Regarding the Determination of Constant Prices for Bitumen
Reserves under National Instrument 51-101 Standards of
Disclosure for Oil and Gas Activities |
In effect January 20, 2005 |
Provides guidance as to how the
constant price used in estimating bitumen reserves and
related future net revenue should be determined under NI
51-101 in the absence of a published market for bitumen. |
|
51-316 |
CSA Staff Notice |
Continuous Disclosure
Review of Smaller Issuers |
In effect December 9, 2005 |
Summarizes the most frequent
deficiencies in the CD record of smaller issuers. |
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51-319 |
CSA Staff Notice |
Report on staff's
second continuous disclosure review of income trust issuers |
In effect August 4, 2006 |
Reports findings of a targeted
review of business income trust issuers. |
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51-320 |
CSA Staff Notice |
Options Backdating |
In effect September 8, 2006 |
Provides guidance on the issue
of backdating of options granted by reporting issuers in
Canada. |
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51-322 |
CSA Staff Notice |
Reporting Issuer
Defaults |
In effect December 15, 2006 |
Sets out the deficiencies
that will result in a reporting issuer being noted in
default of securities laws. |
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51-323 |
CSA Notice |
XBRL filing program and
request for volunteers |
In effect January 19, 2007 |
Outlines how issuers can
voluntarily file financial statements in XBRL format, a new
business reporting language that is emerging as a national
standard for communicating business and financial data.
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51-324 |
CSA Notice |
Glossary to NI 51-101 Standards of Disclosure for Oil & Gas
Activities |
In effect December 28, 2007 |
Defines a number of terms used
in NI 51-101, its forms and companion policy and
provides that terms used in NI 51-101 that are not defined
in NI 51-101, NI 14-101 or the securities statutes in
the jurisdiction have the same meaning or interpretation
set out in the COGE Handbook. |
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51-326 |
CSA Staff Notice |
Continuous
Disclosure Review Program Activities for Fiscal 2008 |
August 13, 2008 |
Summarizes the results of the
CSA's continuous disclosure (CD) review program of
reporting issuers for the fiscal year ending March 31,
2008. Also gives an overview of how the CD review
program works. |
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51-601 |
Local Policy |
Reporting Issuers in
Default |
In effect December 14, 2006.
Amended effective July 1, 2007 |
Outlines how the Commission
determines whether a reporting issuer is in default.
Also outlines how to access the Commission's list of
reporting issuers to determine if a reporting issuer is in
default. |
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51-701 |
Local Staff Notice |
Continuous Disclosure Reporting Requirements for Issuers under Section 21 Exemption Orders |
In effect September 17, 1990. |
Sets out staffs' views of effect of continuous disclosure requirements under orders issued under prior Act. |
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51-702 |
Saskatchewan Staff Notice |
Reporting Issuer Status after Exempt Securities Exchange |
In effect May 7, 1993.
Amended February 15, 2008. |
Sets out staffs' views that an issuer which files a securities exchange take-over bid pursuant to clause 102(1)(e) of the Act becomes a reporting issuer. |
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51-703 |
Saskatchewan Staff Notice |
New
Requirements for Issuers Reporting by Order |
In effect March 23, 2004
Amended April 27, 2004
Amended Jan 27, 2006
|
Sets out how the new
continuous disclosure rules that come into effect on
March 30, 2004 will affect issuers reporting by order. |
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51-901 |
General Exemption Order |
Exemption Orders made Pursuant to Parts XI, II and XIII of the Act |
In effect Nov 7, 1988.
Amended March 30, 2004. |
Makes exemption orders from the continuous disclosure requirements under the former Act uniform. |
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51-902 |
General Exemption Order |
Exemption from Certain Financial Reporting Requirements |
In effect November 28, 1991. |
Exempts certain issuers from certain financial reporting requirements of the Act on certain conditions. |
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51-904 |
General Exemption Order |
Curing Issuers' Defaults of Reporting Obligations |
In effect Jan 22, 2001
Amended July 7, 2004
Amended January 1, 2006
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Orders that reporting issuers that have been in default of their continuous disclosure reporting obligations are deemed not to be in default if they meet certain conditions. |
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51-905 |
General Exemption Order |
Varying
the Terms of Previously Granted Orders |
In effect March 30, 2004 |
Varies the terms of rulings
previously granted by the Commission which impose
continuous disclosure requirements on issuers. |
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51-906 |
General Exemption Order |
Exemption
from Certain Continuous Disclosure Requirements under NI
51-102 Continuous Disclosure Obligations |
In effect March 30, 2004 |
Exempts certain issuers from certain financial reporting requirements
under NI 51-102 on certain conditions. |
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51-909 |
General Exemption Order |
Waiver of Continuous
Disclosure Requirements for Issuers That Have Made
Offerings Under the Qualified Investor Exemption |
In effect August 26, 2005 |
Waives the continuous
disclosure requirements that apply to issuers that have
made offerings under the Qualified Investor Exemption
under clauses 39(1)(y) and 81(1)(s) of the Act. |
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TOP OF PAGE
Financial Disclosure |
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52-107 |
National Instrument
|
Acceptable
Accounting Principles, Auditing Standards and Reporting
Currency
Amendments
Consequential amendments |
In effect March 30, 2004
In effect December 29, 2006
In effect December 31, 2007 |
Sets out the accounting
principles that issuers (other than investment funds) and
registrants may use to prepare their financial
statements. Also sets out the auditing standards that
may be applied to audit those financial statements. |
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52-107CP |
Companion Policy |
Acceptable
Accounting Principles, Auditing Standards and Reporting
Currency |
In effect March 30, 2004 |
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52-108 |
National Instrument |
Auditor
Oversight
Amendments to NI 52-108 |
In effect March 30, 2004
In effect July 4, 2008 |
Requires an auditor's report
that accompanies a reporting issuer's financial statements
to be signed by a public accounting firm that is a member
of the Canadian Public Accountability Board. |
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52-109 |
Multilateral Instrument |
Certification
of Disclosure in Issuer's Annual and Interim Filings
Amendments to NI 52-109
Consequential Amendments
Restated NI
52-109 including Forms |
In effect March 30, 2004.
Amended June 6, 2005. To be repealed and restated Dec. 15, 2008
In effect June 6, 2005
In effect December 31, 2007
In effect December 15, 2008 |
Requires the CEO and CFO of an
issuer to personally certify the issuer's annual and
interim filings with respect to certain matters. |
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Form 52-109F1 - Certification of Annual Filings
Form
52-109F1 - Certification of Annual Filings Full
Certificate
Form 52-109F1 - IPO/RTO - Certification of
Annual Filings Following an Initial Public Offering,
Revers Takeover or Becoming a Non-Venture Issuer
Form
52-109F1R - Certification of Refiled Annual Filings
Form
52-109F1-AIF - Certification of Annual Filings in
Connection With Voluntarily Filed AIF
Form
52-109FT1 - Certification of Annual Filings during
Transition Period
Form
52-109FV1 - Certification of Annual Filings Venture
Issuer Basic Certification
Form
52-109F2 - Certification of Interim Filings
Form
52-109F2 - Certification of Interim Filings Full
Certificate
Form
52-109FT2 - Certification of Interim Filings during
Transition Period
Form
52-109FV2 - Certification of Interim Filings Venture
Issuer Basic Certificate
Form 52-109F2-IPO/RTO - Certification of Interim
Filings Following an Initial Public Offering, Reverse
Takeover or Becoming a Non-Venture Issuer
Form
52-109F2R - Certification of Refiled Interim Filings |
To be repealed Dec. 15,
2008.
In effect Dec 15, 2008
In effect Dec 15, 2008
In effect Dec 15, 2008
In effect Dec 15, 2008
To be repealed Dec. 15,
2008.
In effect Dec 15,
2008
To be repealed Dec.
15, 2008.
In
effect Dec 15, 2008
To be
repealed Dec. 15, 2008.
In effect Dec 15, 2008
In effect Dec 15, 2008
In effect Dec 15, 2008 |
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52-109CP |
Companion Policy |
Certification
of Disclosure in Issuer's Annual and Interim Filings
Amendments to 52-109CP
Restated
CP 52-109 |
In effect March 30, 2004.
To be repealed and restated Dec. 15, 2008.
In effect
June 5, 2005.In
effect December 15, 2008 |
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52-110 |
Multilateral Instrument |
Audit
Committees
Amendments to MI 52-110
Consequential Amendments
Amendments
|
In effect March 30, 2004
In effect June 30, 2005
In effect December 31, 2007
In effect March 17, 2008 |
Requires reporting issuers to
have audit committees which are responsible for overseeing
the issuer's auditors, and other matters relating to the
auditors. |
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Form
52-110F1 - Audit Committee Information Required in an AIF
Amendments to Form 52-110F1
Form
52-110F2 - Disclosure by Venture Issuers
Amendments to Form 52-110F2 |
In effect June 30, 2005
In effect June 30, 2005 |
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52-110CP |
Companion Policy |
Audit
Committees
Amendments to 52-110CP
Amendments
Amendments to 52-110CP |
In effect March 30, 2004
In effect June 30, 2005
In effect March 17, 2008
In effect July 4, 2008
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52-306 |
CSA Staff Notice |
Non-GAAP
Financial Measures |
In effect Nov 14, 2003. Amended
August 4, 2006. |
Provides guidance to issuers
who disclose financial measures other than those prescribed
by GAAP |
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52-307 |
CSA Staff Notice |
Auditor
Oversight and Financial Statements Accompanied by an Audit
Report dated on or after March 30, 2003 |
In effect December 5, 2003 |
Alerts reporting issuers and
their auditors to plan to comply with MI 52-108 Auditor
Oversight which will affect auditors' reports dated on or
after March 30, 2004. |
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52-309 |
CSA Staff Notice |
MI 52-110 Audit
Committees Compliance Review |
In effect May 6, 2005 |
Gives notice the CSA staff will
conduct a review of issuers' compliance with MI 52-110
Audit Committee's requirements regarding audit
committee composition and responsibilities |
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52-311 |
CSA Staff Notice |
Required Forms of
Certificates under MI 52-109 Certification of Disclosure
in Issuers' Annual and Interim Filings |
In effect December 16, 2005 |
Assists certifying officers in
determining what form of certificate is required under MI
52-109 for various financial years and interim periods. |
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52-312 |
CSA Staff Notice |
Audit Committee
Compliance Review |
In effect January 13, 2006 |
Outlines the results of CSA
staff review of compliance with MI 52-110 Audit
Committees. |
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52-313 |
CSA Staff Notice |
Status of Proposed MI
52-111 Reporting on Internal Controls over Financial
Reporting |
In effect March 10, 2006 |
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52-314 |
CSA Staff Notice |
Securities Regulators
Want Your Feedback on SBRL |
In effect June 29, 2006 |
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52-315 |
CSA Staff Notice |
Certification
Compliance Review |
In effect September 22, 2006 |
Outlines the results of staff's
review of compliance with the certification requirements in
NI 52-109, and provides guidance in complying with the
requirements. |
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52-316 |
CSA Staff Notice |
Certification of Design
of Internal Controls over Financial Reporting |
In effect September 22, 2006 |
Gives staff's views regarding
the ability of certifying officers of a reporting issuer to
certify the design of the issuer's internal control over
financial reporting (ICFR) as required by NI 52-109 if the
certifying officers are aware of a weakness in the design
of the issuer's ICFR. |
|
52-317 |
CSA Notice |
Timing of Proposed
National Instrument 52-109 Certification of Disclosure
in Issuers' Annual and Interim Filings |
In effect February 9, 2007 |
Communicates the CSA's plans
for publishing amendments to NI 52-109 and the proposed
effective date of the revised certification requirements. |
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52-318 |
CSA Staff Notice |
Audit
Committee Follow-Up Compliance Review |
In effect June 29, 2007 |
Outlines the results of the
follow-up review necessitated by the inadequate compliance
with Multilateral Instrument 52-110 Audit Committees. |
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52-319 |
CSA Notice |
Status of Proposed
Repeal and Replacement of MI 52-109 Certification of
Disclosure in Issuers' Annual and Interim Filings |
November 23, 2007 |
Provides an update on the
status of the initiative to repeal and replace MI 52-109. |
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52-320 |
CSA Notice |
Disclosure of Expected
Changes in Accounting Policies Relating to Changeover to
International Financial Reporting Standards |
June 9, 2008 |
Provides guidance to issuers on
disclosure of expected changed in accounting policies
relating to an issuer's changeover to International
Financial Reporting Standards as the basis for preparing
its financial statements. |
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52-321 |
CSA Staff Notice |
Early Adoption of
International Financial Reporting Standards, use of US
GAAP and Reference to IFRS-IASB |
In effect June 27, 2008 |
Updates the market on CSA
staff's views on the issues addressed in CSA concept
paper 52-402 Possible changes
to securities rules relating to International Financial
Reporting Standards published on February 13, 2008 |
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52-322 |
CSA Staff Notice |
Status of Proposed
Repeal and Replacement of MI 52-109 Certification of
Issuers' Annual and Interim Filings |
In effect, July 11, 2008 |
Updates market participants on
the status of the initiative to repeal and replace MI
52-109. |
|
52-601 |
Local Policy Statement |
Selection of Professional Accountants |
In effect October 21, 1993. |
Sets out who the Commission will consider as an acceptable auditor under clause 70(2)(i) of the Act. |
|
52-701 |
Saskatchewan Notice |
Exemption
from Filing on SEDAR |
In effect January 20, 2004 |
Gives notice of the repeal
of GRO 13-801 Exemption from Filing on SEDAR effective
June 30, 2004. |
|
52-904 |
General Exemption Order |
Certain Issuers Ceasing
to be Reporting Issuers in Reorganizations and Take-over
Bids |
Feb 23, 2005.
Amended March 17, 2005.
Amended June 1, 2006
Amended November 15, 2007 |
Grants an order pursuant to
section 92 of the Act that an issuer that becomes a
reporting issuer under clause 2(1)(qq) when it files a
securities exchange take-over bid or is involved in a
reorganization, ceases to be a reporting issuer if it is
a wholly owned subsidiary of another issuer or has not
issued
securities that are held by the public. |
|
52-905 |
General Exemption Order |
Relief from Certification
Requirements in Multilateral Instrument 52-109 |
In effect November 27, 2007 |
Provides an exemption to
CEOs and CFOs of venture issuers from the certification
requirements in MI 52-109 Certification of Disclosure
in Issuers' Annual and Interim Filings provided that
they file a specified alternate certificate. |
|
Timely
Disclosure |
|
53-301 |
CSA Staff Notice |
The Toronto Stock Exchange Committee on Corporate Disclosure - Final Report; CSA Task Force on Civil Remedies. |
In effect September 12, 1997. |
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Proxy
Solicitation |
|
54-101 |
National Instrument |
Communication with Beneficial Owners of Securities of a Reporting Issuer |
In effect July 1, 2002 |
Requires reporting issuers to send proxy-related materials to the beneficial owners of its securities who not registered holders of its securities. Provides a procedure for sending proxy-related materials and other securityholder material to the
beneficial owners. Imposes obligations on various parties in the securityholder communication process. |
|
54-101 |
Forms |
54-101F1
54-101F2
54-101F3
54-101F4
54-101F5
54-101F6
54-101F7
54-101F8
54-101F9 |
In effect July 1, 2002 |
Forms to NI 54-101 |
|
54-101CP |
Companion Policy |
Communication with Beneficial Owners of Securities of a Reporting Issuer |
In effect July 1, 2002 |
Companion Policy to NI 54-101 |
|
54-301 |
CSA Staff Notice |
Frequently
Asked Questions about National Instrument 54-101
Communication with Beneficial Owners of Securities of a
Reporting Issuer |
In effect April 4, 2003 |
Provides answers to frequently
asked questions about National Instrument 54-101
Communication with Beneficial Owners of Securities of a
Reporting Issuer |
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TOP OF PAGE Insider Reporting |
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55-101 |
National Instrument |
Exemption from Certain Insider
Reporting Requirements
Blacklined to show amendments
As amended
and restated
|
In effect in Saskatchewan June 6, 2001
Amended April 30, 2005
|
Provides certain exemptions from the insider reporting obligation. |
|
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|
Amending Instrument
Blacklined |
Amended September 10, 2007 |
|
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55-101CP |
Companion Policy |
Exemption from Certain Insider Reporting Requirements
As amended
and restated |
In effect in Saskatchewan June 9, 2001
Amended April 30, 2005
|
Companion Policy to National Instrument 55-101 Exemption from Insider Trading. |
|
|
|
Blacklined
|
Amended September 10,
2007 |
|
|
55-102 |
National Instrument |
System for Electronic Disclosure by Insiders (SEDI)
Form
55-102F1
Form 55-102F2
Form 55-102F3
Form 55-102F4
Form 55-102F5
Form 55-102F6
Amendments to Forms 55-102F1, F2, F3 and F6
Form 55-102F6 |
Consolidated
incorporating amendments in effect June 13,
2008
In effect June 13, 2008
Consolidated
incorporating amendments in effect June 13,
2008 |
Requires insiders of SEDI issuers to file their reports on SEDI. SEDI issuers are reporting issuers (other than mutual funds) that are required to file materials on
SEDAR. |
|
55-102CP |
Companion Policy |
System for Electronic Disclosure by Insiders
(SEDI)
Amendments effective August 20, 2005 |
In effect Oct 29, 2001
Amended as of August 26,
2003
|
Companion Policy to National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI) |
|
55-103 |
Multilateral Instrument |
Insider
Reporting for Certain Derivative Transactions (Equity
Moneitization) |
In effect February 28, 2004 |
Requires insiders of reporting issuers who enter into
agreements that change:
(a)
their
economic interest in the securities of the reporting issuer;
or
(b)
their
economic exposure to the reporting issuer;
to file an
insider report, even if they are not otherwise required to file
one.
|
|
55-103CP |
Companion Policy |
Insider
Reporting for Certain Derivative Transactions (Equity
Moneitization) |
In effect February 28, 2004 |
Companion Policy to MI 55-103
Insider Reporting for Certain Derivative Transactions
(Equity Moneitization) |
|
55-308 |
CSA Staff Notice |
Questions on Insider
Reporting |
In effect November 15, 2002 |
Provides questions and answers on insider reporting. |
|
55-310 |
CSA Staff Notice |
Questions
and Answers on SEDI |
In effect April 11, 2003
Revised August 19, 2005 |
Provides questions and answers
on using SEDI |
|
55-312 |
CSA Staff Notice |
Insider
Reporting Guidelines for Certain Derivative Transactions
(Equity Monetization) |
In effect Feb 27, 2004 |
Provides guidance to insiders
on reporting of derivative-based transactions which are
commonly referred to as "equity monetization"
transactions. |
|
55-905 |
General Exemption Order |
Insider Trading Reports |
In effect June 9, 2003
Amended Jan 1, 2005 |
Grants certain exemptions from the insider reporting requirements. |
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TOP OF PAGE
Cease Trading Orders |
|
57-302 |
CSA Staff Notice |
Failure
to File Certificates under MLI 52-109 Certifications of
Disclosure in Issuers' Annual and Interim Filings |
In effect Feb 27, 2004 |
Gives notice that failure to
file the certificates required by MLI 52-109 or filing
certificates that are not in proper form will be viewed by
staff as a serious breach of securities laws. |
|
Corporate Governance |
|
58-101 |
National Instrument |
Disclosure of
Corporate Governance Practices
Amendments to NI 58-101
Amendments
|
In effect June 30, 2005
In effect December 31, 2007
In effect March 17, 2008 |
Requires issuers to disclose
the corporate governance practices that they have adopted.
Also requires issuers to file any written code that they
have adopted. |
|
|
|
Form 58-101F1
Form 58-101F2 |
|
|
|
58-201 |
National Policy |
Corporate Governance
Practices |
In effect June 30, 2005 |
Provides guidance on corporate
governance practices. |
|
58-302 |
CSA Staff Notice |
Implementation
of NP 58-201 Corporate Governance Guidelines and NI
58-101 Disclosure of Corporate Practices |
In effect Jan 21, 2005 |
|
|
58-303 |
CSA Staff Notice |
Corporate Governance Disclosure Compliance Review |
In effect June 29, 2007 |
|