Government of Saskatchewan Western Red Lilies
Financial Services Commission
   Securities Division

 
Regulatory Instruments  by Subject Matter
TABLE OF CONTENTS

PART 5 - ONGOING REQUIREMENTS FOR ISSUERS AND INSIDERS

Disclosure General

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.
    Form 51-101F1  Statement of Reserves Data and Other Oil and Gas Information

Amendment to Form 51-101F1

 

 

 

In effect December 28, 2007

 
   

Form 51-101F2 - Report on Reserves Data by Independent Qualified Reserves Evaluator

Amendment to Form 51-101F2

 








In effect December 28, 2007
 
   

Form 51-101F3 - Report of Management and Directors on Oil and Gas Disclosure

Amendment to Form 51-101F3

 







In effect December 28, 2007
 
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

Companion Policy to NI 51-101
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.
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  
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.
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.  
   

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

 
   

Form 51-102F2 Annual Information Form

 

Amendments to Form 51-102F2

Amendments to form 51-102F2

In effect December 30, 2005.  In effect December 29, 2006

In effect December 31, 2007.

In effect March 17, 2008.

 
    Form 51-102F3 Material Change Report

Amendments to Form 51-102F3

In effect December 29, 2006

In effect, July 4, 2008

 
   

Form 51-102F4 Business Acquisition Report

In effect December 29, 2006

 
   

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

 
    Form 51-102F6 Statement of Executive Compensation (in respect of financial years ending on or after December 31, 2008) In effect December 31, 2008  
   

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

 
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

 
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.
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
 
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.

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.

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.  
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. 
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.
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.
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  
51-312 CSA Staff
Notice
CSA Staff Notice 51-312 Harmonized Continuous Disclosure
Review Program
In effect July 16, 2004  
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.  
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. 
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.
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.
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.
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.
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. 
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.
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.
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.

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.

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.

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.

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.

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.

51-904 General Exemption Order Curing Issuers' Defaults of Reporting Obligations In effect Jan 22, 2001

Amended July 7, 2004

Amended January 1, 2006

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.  
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.
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.
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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Financial Disclosure

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.
52-107CP Companion Policy Acceptable Accounting Principles, Auditing Standards and Reporting Currency In effect March 30, 2004  
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.
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.
   

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

 
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

 
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.
   

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

 
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

 

 
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
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.
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
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.
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.
52-313 CSA Staff Notice Status of Proposed MI 52-111 Reporting on Internal Controls over Financial Reporting In effect March 10, 2006  
52-314 CSA Staff Notice Securities Regulators Want Your Feedback on SBRL In effect June 29, 2006  
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.
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.
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.
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.
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.
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
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. 

 

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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Insider Reporting

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.
    Amending Instrument

Blacklined

Amended September 10, 2007

 
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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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  

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