|
Multilateral Instrument 11-101 Principal Regulator System |
|
MI 11-101
Principal Regulator System
Amendments
|
In effect September 19, 2005.
Amended as of December 30, 2005
Effective March 17, 2008 |
Implements a system that gives
a market participant access to the capital markets in
several jurisdictions by dealing with the regulator and the
law of its principal jurisdiction. |
|
Companion
Policy 11-101CP
Amendments |
Effective March 17,
2008 |
|
|
Form
11-101F1 Notice of Principal Regulator
Amendments |
Effective March 17, 2008
|
|
|
CSA Staff Notice 11-308 Guidelines
for use of Mobility Exemptions under Part 5 of MI 11-101
Principal Regulator System |
In effect January 27, 2006 |
Provides guidance on the use of
the mobility registration exemptions in Part 5 of MI 11-101
Principal Regulator System |
|
Multilateral Instrument
11-102 Passport System |
|
MI 11-102 Passport System |
In effect March 17, 2008 |
Implements, in the main areas
of securities regulation, a system that gives a market
participant access to the capital markets in multiple
jurisdictions by dealing only with its principal regulator
and meeting the requirements of one set of harmonized
rules. |
|
Companion Policy 11-102CP |
In effect March 17, 2008 |
|
|
National Instrument 13-101 System for Electronic Document
Analysis and Retrieval (SEDAR) |
|
NI 13-101 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.
Amended November 1, 2006 |
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. |
|
SEDAR Filer Manual Version 8.3 |
In effect October 27, 2006 |
|
|
Saskatchewan Notice 52-701
Exemption
from Filing on SEDAR |
In effect Jan 20, 2004 |
Gives notice of the repeal
of GRO 13-801 Exemption from Filing on SEDAR effective
June 30, 2004. |
|
National Instrument 14-101
Definitions |
|
NI 14-101 Definitions
Amendments
Amendments
|
In effect nationally April 1, 1997. In Saskatchewan Jan 17, 2000.
Amended December 31, 2002.
In effect March 17, 2008
In effect March 17, 2008
|
Sets out the definitions of terms used in more than one national instrument for the purpose of interpreting all national instruments. |
|
National Instrument 21-101
Marketplace Operation |
|
NI 21-101 Marketplace Operation
Amendments |
In effect Dec 1, 2001. Amended May 20, 2004
In effect September 12, 2008 |
Regulates all securities marketplaces operating in Canada including exchanges, quotation and trade reporting systems and alternate trading systems. |
|
Companion Policy 21-101CP
Amendments |
In effect Dec 1, 2001. Amended May 20, 2004
In effect September 12, 2008 |
Companion Policy to National Instrument 21-101 Marketplace Operation |
|
CSA Staff Notice 21-305
Extension of Approval of Information Processor for
Corporate Fixed Income Securities |
In effect October 27, 2006 |
Gives notice that CanPX Inc.'s
approval as an information processor for corporate fixed
income securities under NI 21-101 Marketplace Operations
has been extended from Dec. 1, 2006 to Dec. 1, 2007. |
|
CSA Staff Notice 21-302
Confidentiality of forms filed under NI 21-101 |
In effect January 24, 2003 |
Gives notice that the securities regulators will keep
confidential the forms that that marketplaces and
information processes are required to file under National
Instrument 21-101 Marketplace Operations. |
|
National Instrument 23-101
Trading Rules |
|
NI 23-101 Trading Rules
Amendments |
In effect Dec 1, 2001. Amended on May 20, 2004
In effect September 12, 2008 |
Sets out common trading rules that apply to all trading whether on a marketplace or not. |
|
Companion Policy 23-101CP
Amendments |
In effect Dec 1, 2001
Amended on May 20, 2004
In effect September 12, 2008
|
Companion Policy to National Instrument 23-101 Trading Rules |
|
National Instrument 24-101 Institutional Trade Matching and
Settlement |
|
NI 24-101 Institutional
Trade Matching and Settlement |
In effect April 1, 2007
|
Provides a general framework in
provincial securities regulation for ensuring more
efficient and timely settlement processing of trades,
particularly institutional trades. |
|
Companion
Policy 24-101CP |
In effect April 1, 2007
|
Companion Policy to
National Instrument 24-101
Institutional Trade Matching
and Settlement |
|
Form
24-101F1 Registrant Exception Report of DAP/RAP Trade
Reporting and Matching |
In effect April 1, 2007 |
|
|
Form
24-101F2 Clearing Agency Quarterly Operations Report of
Institutional Trade Reporting and Matching
|
In effect April 1, 2007 |
|
|
Form
24-101F3 Matching Service Utility Notice of Operations
|
In effect April 1, 2007 |
|
|
Form
24-101F4 Matching Service Utility Notice of Cessation of
Operations |
In effect April 1, 2007 |
|
|
Form
24-101F5 Matching Service Utility Quarterly Operations
Report of Institutional Trade Reporting and Matching
|
In effect April 1, 2007 |
|
|
General Ruling/Order Extension of Transitional
Phase-In Period in NI 24-101
|
In effect June 30, 2008 |
Defers the current July 1,
2008 effective date in NI 24-101 for the midnight on the matching requirement to July 10, 2010 and extends the
transitional phase-in period for the registrant
exception reporting requirement by an additional 24
months. |
|
CSA Notice
24-306 Exception Reports under NI 24-101 |
In effect February 1, 2008 |
Sets out information on how to
make exception reports under NI 24-101 |
|
National Instrument 31-101 National Registration System
|
|
NI 31-101 National
Registration System
|
In effect April 4, 2005.
Amended August 1, 2006.
|
Provides exemptive relief so
that filers under the National Registration System must
only comply with the fit and proper and other like
requirements of their principal regulator. |
|
Form
31-101F1 Election to Use NRS and Determination of
Principal Regulator
|
|
|
|
Form
31-101F2 Notice of Change |
|
|
|
NP 31-201 National
Registration System
|
In effect April 4, 2005.
Amended August 1, 2006
|
Sets out the procedure to be
followed by filers who are submitting applications under
the National Registration System (NRS). The NRS is a mutual
reliance system for registration of investment dealers,
mutual fund dealers and advisers and their sponsored
individuals. |
|
GRO 31-801 Implementing
National Registration Database |
In effect Feb 12, 2002 |
Exempts certain Saskatchewan
based firms from complying with MI 31-102 National
Registration Database. |
|
GRO 31-804 Extending
Time Periods under MI 31-102 and MI 33-109 |
In effect Nov 14, 2003 |
Extends the time periods in
which registrants are required to file certain
information under the transitional provisions of MI
31-102 and MI 33-109 to December 15,
2003. Extends certain other deadlines under March
31, 2006. Also grants an exemption for registered
firms and individuals from filing certain forms under MI
31-102 and MI 33-109 where certain changes to an
individual's personal information do not affect the
individual's suitability for registration or status as a
non-registered individual. |
|
Multilateral Instrument 31-102 National Registration
Database |
|
MI 31-102 National
Registration Database
|
In effect March 31, 2003, except for
sections 7.1 and 7.2 which come into force on Feb 3, 2003 |
Requires that certain
registration information, including applications for
registration by individuals, be submitted to regulators
electronically through the NRD. |
|
Amendments to MI 31-102 National Registration Database
|
Come into force on May 15,
2007 |
|
|
Companion
Policy 31-102CP |
In effect March 31, 2003. |
|
|
National Instrument 33-102 Regulation of Certain Registrant
Activity |
|
NI 33-102 Regulation of Certain
Registrant Activity |
In effect Aug 1, 2001 |
Requires registrants to provide with disclosure about certain products and risks. |
|
Companion Policy 33-102CP |
In effect Aug 1, 2001 |
Companion policy to National Instrument 33-102 Regulation of Certain Registrant Activity. |
|
National Instrument 33-105 Underwriting Conflicts |
|
NI 33-105 Underwriting
Conflicts |
In effect September 14, 2005 |
Imposes disclosure of
relationships and an independent underwriter requirement in
certain situations where there is a relationship between
the issuer and the underwriter. |
|
Companion Policy 33-105CP |
In effect September 14, 2005 |
Companion policy to NI 33-105 |
|
Multilateral Instrument 33-109 Registration
Information |
|
MI 33-109 Registration
Information
|
In effect February 21, 2003 |
Consolidates and harmonizes
requirements regarding initial submission of registration
information and updating that information |
|
Amendments to MI 33-109 Registration Information |
Comes into force May 15,
2007 |
|
|
Companion
Policy 33-109CP |
In effect February 21, 2003 |
|
|
Form 33-109F1
Notice of Termination
|
|
|
|
Form 33-109F2
Change or Surrender of Individual Categories
|
|
|
|
Form 33-109F3
Business Locations Other Than Head Office
|
|
|
|
Form 33-109F4
Registration Information for an Individual |
|
|
|
Form 33-109F5
Change of Registration Information
|
|
|
|
National Instrument
35-101 Conditional Exemption From Registration for
United States Broker-dealers and Agents |
|
NI 35-101 Conditional Exemption
From Registration for United States Broker-dealers and
Agents |
In effect in Saskatchewan Mar 9, 2001 |
Provides U.S. broker-dealers and their agents with a conditional exemption from the applicable registration and prospectus requirements under Canadian securities legislation. |
|
National Instrument 41-101 General Prospectus
Requirements |
|
NI
41-101 General Prospectus Requirements
Form
41-101F1 Information Required in a Prospectus
Amendments to Form 41-101F2
Form 41-101F2 Information Required in an Investment Fund
Prospectus |
In effect March 17, 2008 In effect March 17, 2008
In effect
September 8, 2008
Consolidated and in effect
as of September 8, 2008 |
|
|
Companion Policy 41-101CP |
In effect March 17, 2008 |
|
|
National Instrument 43-101 Standards of
Disclosure for Mineral Projects |
|
NI 43-101 Standards of
Disclosure for Mineral Projects
|
In effect in Saskatchewan Mar 9, 2001.
Amended and restated December 30, 2005
|
Regulate all disclosure that an issuer makes concerning mineral projects that is reasonably likely to made available to the public. Consolidates and expands National Policy Statements 2-A Guide for Engineers, Geologists and Prospectors Submitting Reports on
Mining Properties to the Canadian Securities Administrators. |
|
Companion
Policy
|
In effect December 30, 2005
|
|
|
Form 43-101F1 Technical Report
|
In effect December 30, 2005 |
|
|
CSA Notice 43-302 Frequently Asked Questions |
In effect October 19, 2001. Revised
Feb 8, 2002 and Jan 24, 2003. |
|
|
National Instrument 44-101 Short Form Prospectus
Distributions |
|
NI 44-101 Short Form Prospectus
Distributions
Amendments to NI 44-101
|
In effect in Saskatchewan Mar
9, 2001. Amended September 30, 2003. Amended
March 30, 2004. Amended January 4, 2005. Amended and
restated December 30, 2005. Amended December 29, 2006.
Amended March 17, 2008. |
Prescribes conditions for the use of a short form prospectus to distribute securities to the public. |
|
Companion Policy 44-101CP
Amendments to CP 44-101CP
|
In effect in Saskatchewan Mar 9, 2001.
Amended March 30, 2004.
Amended Jan 4, 2005. Amended and
restated December 30, 2005.
In effect December 31, 2007 |
|
|
Form 44-101F1 Short Form Prospectus
Amendments to Form 44-101F1
|
In effect December 30, 2005.
Amended December 29, 2006.
Amended March 17, 2008 |
|
|
CSA Notice 44-301
Frequently Asked Questions Regarding the New Prospectus
Rules |
In effect March 15, 2002 |
Sets out frequently asked questions and answers respecting:
NI 44-101 Short Form Prospectus Distributions, NI 44-102 Shelf Distributions, NI 44-103 Post-Receipt Pricing and
OSC rule 41-501 General Prospectus Requirements. |
|
CSA Staff Notice 44-302
Replacement of NI 44-101 Short Form Prospectuses |
In effect December 16, 2005 |
|
|
CSA Staff Notice
44-303 Filing Notice of Intention to be Qualified
under NI 44-101 |
In effect March 10, 2006 |
Sets out how to file a
Notice of Intent to be Qualified under NI 44-101 on
SEDAR. |
|
Saskatchewan GRO 44-801
Implementing National Instrument 44-101 Short Form
Prospectus Distributions. |
In effect Mar 9, 2001 |
Grants exemptions necessary to implement National Instrument 44-101. |
|
National Instrument 44-102 Shelf Distributions |
NI 44-102 Shelf Distributions
Amendments to NI 44-102
|
In effect in Saskatchewan Mar
9, 2001. Amended
December 30, 2005.
In effect March 17, 2008. |
Regulates Canadian shelf prospectus distributions. Reformulates and replaces National Policy Statement 44 Rules for Shelf Prospectus Offerings and for Pricing Offerings after the Final Prospectus is Receipted ("NP44") |
|
Appendix A of NI 44-102 Shelf Distributions |
|
|
|
Appendix B of NI 44-102 Shelf Distributions |
|
|
|
Companion Policy 44-102CP
Amendments CP 44-102CP |
In effect in Saskatchewan Mar 9, 2001.
Amended
December 30, 2005.
In effect March 17, 2008. |
Companion Policy to National Instrument 44-102 Shelf Distributions |
|
Saskatchewan GRO 44-802
Implementing National Instrument 44-102 Shelf
Distributions. |
In effect Mar 9, 2001 |
Grants exemptions necessary to implement National Instrument 44-102. |
|
National Instrument 44-103 Post-Receipt Pricing |
|
NI 44-103 Post-Receipt Pricing
Amendments |
In effect in Saskatchewan Mar 9, 2001.
Amended
December 30, 2005.
In effect March 17, 2008. |
Regulates the Canadian post-receipt pricing regime. Reformulates and replaces the provisions of NP44 relating to post-receipt pricing. |
|
Companion Policy 44-103CP
Amendments |
In effect in Saskatchewan Mar
9, 2001. Amended December 30, 2005.
In effect March 17, 2008. |
Companion Policy to National Instrument 44-103 Post-Receipt Pricing |
|
Saskatchewan GRO 44-803
Implementing National Instrument 44-103 Post-Receipt
Pricing. |
In effect Mar 9, 2001 |
Grants exemptions necessary to implement National Instrument 44-103. |
|
National Instrument 45-101 Rights Offerings |
|
NI 45-101 Rights Offerings |
In effect in Saskatchewan July 25, 2001.
Amended September 30, 2003.
Amended September 14, 2005. |
Sets out how an issuer may make a rights offering to sell additional securities of its own issue to holders of its securities. |
|
Form
45-101F1 |
In effect in Saskatchewan July
25, 2001. Amended as of March 17, 2008. |
|
|
Companion Policy 45-101CP |
In effect in Saskatchewan July 25, 2001.
Amended September 30, 2003. |
Companion Policy to National Instrument 45-101 Rights Offerings. |
|
National Instrument 45-102 Resale
of Securities |
|
NI 45-102 Resale of Securities
|
In effect Nov 30, 2001. Amended
September 30, 2003.
Repealed and replaced on
March 30, 2004.
Amended Sept 14, 2005. |
Implements uniform first trade restrictions for securities acquired under registration and prospectus exemptions. |
|
Companion Policy 45-102CP
|
In effect Nov 30, 2001
Repealed and replaced March
30, 2004.
Amended September 14, 2005. |
Companion Policy to National Instrument 45-102 Resale of Securities |
|
Form 45-102F1 |
In effect November 30, 2001.
Repealed and replaced on March 30, 2004. Amended Sept
14, 2005 |
|
|
CSA
Staff Notice 45-302 Frequently
asked questions about the resale rules
|
In effect April 2, 2004 |
Answers frequently asked questions
about NI 45-102 |
|
CSA Notice 45-304
Notice of Local Exemptions Related to NI 45-106
|
In effect September 9, 2005 |
Lists local prospectuses and
registration exemptions in force after NI 45-106 comes into
force. |
|
Saskatchewan GRO 45-801
Implementing Multilateral Instrument 45-102 Resale of
Securities |
In effect Nov 30, 2001 |
Grants exemptions necessary to implement
National Instrument 45-102. Also amends prior Commission rulings to substitute the resale rules in
NI 45-102 for the resale rules in the rulings. |
|
National Instrument 45-106 Prospectus
and Registration Exemptions |
|
NI 45-106 Prospectus
and Registration Exemptions |
In effect September 14, 2005 |
Sets out exemptions from the
prospectus and registration requirements in the Act. |
|
Companion
Policy 45-106CP |
|
|
|
Forms |
|
|
|
CSA Staff Notice 45-304
Notice of Local Exemptions Related to NI 45-106 |
In effect September 9, 2005 |
|
|
CSA Staff Notice 45-305
Frequently Asked Questions About 45-106 |
In effect December 2, 2005 |
|
|
Saskatchewan Staff Notice 45-703 Monitoring
the Use of the Exemptions Under National Instrument
45-106 Prospectus and Registration Exemptions |
In effect June 26, 2003.
Amended
September 14, 2005.
Amended January 18, 2008. |
Describes how Commission
staff will monitor the use of certain capital raising exemptions under
NI
45-106 to ensure that issuers are complying with the
conditions that attach to the exemptions. |
|
Saskatchewan Staff Notice 45-704 Review
of Offering Memoranda Filed Under NI 45-106
Prospectus and Registration Exemptions |
In effect January 6, 2005.
Amended September 14, 2005.
Amended December 13, 2007.
Amended January 18, 2008 |
Sets out the deficiencies
found on staff's review of offering memoranda filed
under MI 45-103 Capital Raising Exemptions. Provides
guidance on preparing OMs in good form. Also sets
out the consequences that may flow if OMs are deficient. |
|
Saskatchewan Staff Notice 45-706 Voluntary
Pre-Offering Review of Offering Memoranda under NI
45-106 |
In effect January 18, 2008. |
Informs issues that they may
pre-file a draft offering memorandum under NI 45-106
Prospectus and Registration Exemptions on a
voluntary basis before it is used. Staff will
review the draft offering memorandum and provide
comments. |
|
General Ruling/Order 11-906
Offering Memorandum Specification Order |
In effect June 1, 2006 |
Specifies the documents that are
not within the definition of "offering memorandum" in the
Act. |
|
National Instrument 51-101 Standards of Disclosure for Oil
and Gas Activities |
|
NI 51-101 Standards of Disclosure for Oil and Gas
Activities
Amendments to NI 51-101 |
In effect September 30, 2003.
Amended September 19, 2005. Amended
December 30, 2005
In effect December 28, 2007 |
Sets out disclosure
requirements for oil and gas issuers. |
|
Companion Policy 51-101CP
Amendments to 51-101CP
|
In effect September 30, 2003.
Amended December 30, 2005
In effect December 28, 2007 |
Companion Policy to NI 51-101 |
|
List
of professional organizations which supercedes the list in
section 1.5(b)
|
In effect
Jan 19, 2004
|
|
|
Form
51-101F1 Statement of Reserves Data and Other Oil and
Gas Information
Amendments
to Form 51-101F1 |
In effect December 28, 2007 |
|
|
Form
51-101F2 - Report on Reserves Data by Independent Qualified
Reserves Evaluator
Amendments
to Form 51-101F2 |
In effect December 28, 2007 |
|
|
Form
51-101F3 - Report of Management and Directors on Oil and
Gas Disclosure
Amendments
to Form 51-101F3 |
In effect December 28, 2007 |
|
|
CSA
Staff Notice 51-309 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. |
|
CSA Staff Notice 51-313 Frequently
Asked Questions about NI 51-101 Standards of Disclosure
for Oil and Gas Activities |
In effect April 8, 2004 |
|
|
CSA Staff Notice 51-315 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. |
CSA Notice 51-317
NI 51-101 Standards of Disclosure for Oil and Gas
Activities Application of Canadian Oil and Gas
Evaluation Handbook
|
In effect February 24, 2006 |
Urges reporting issuers with
oil and gas activities to become familiar with the
information in Volume 2 of the Canadian Oil and Gas
Evaluation Handbook, and apply that information to their
reserves evaluation and disclosure practices. |
|
CSA Staff Notice
51-321 Questions and Answers concerning possible
reserves |
In effect November 17, 2006 |
Provides guidance to issuers
subject to NI 51-101 on issues in connection with
voluntary disclosure that is in addition to that
required under NI 51-101. |
|
Saskatchewan General
Exemption Order 51-904 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. |
|
Saskatchewan General Exemption Order 51-906 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. |
|
Saskatchewan General
Exemption Order 51-907 Venture
Issuers Trading on Certain Foreign Markets |
In effect March 30, 2004.
Amended Feb 15, 2005 |
Grants an exemption from the
requirement in the definition of "venture
issuer" in NI 51-102 that a reporting issuer
not have any of its securities listed on a marketplace
outside of Canada or the US. |
|
Saskatchewan General
Exemption Order 51-908 Exemption
from Interim Periods in Non-Standard Financial Years |
In effect November 1, 2004
|
Grants an exemption from the
requirement to file financial statements for interim
periods ending 9, 6 and 3 months before the end of its
financial to issuers that have non-standard financial
years. |
|
Saskatchewan Staff Notice
51-705 National
Instrument 51-102 - Definition of "Interim
Period" - GRO 51-908 |
In effect November 1, 2004
|
Provides background to GRO
51-908. |
|
National Instrument 51-102 Continuous Disclosure Obligations
|
|
NI 51-102 Continuous Disclosure Obligations
Amendments to NI 51-102
Amendments to NI 51-102 (FOFI)
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. |
|
Companion Policy
51-102
Amendments to 51-102CP
Amendments to 51-102CP (FOFI)
Amendments to 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
|
|
|
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 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
Amendments to Form 51-102F6 (in effect March 2004) |
In effect December 29, 2006.
In effect December 31, 2008
|
|
|
CSA Staff Notice 51-308
Filing of Management's Discussion and Analysis and NI
51-102 |
In effect December 19, 2003 |
Provides guidance on complying
with MD&A requirements upon implementation of NI 51-102 |
|
CSA Staff Notice 51-310
Report on Staff's Continuous Disclosure Review of Income
Trust Issuers |
In effect February 13, 2004 |
Reports the findings and
comments of the continuous disclosure records of 40 income
trust issuers. |
|
CSA Staff
Notice 51-311 Frequently Asked Questions Regarding NI
51-102 |
In effect March 26, 2004. Updated April 23, 2004.
Updated June 18, 2004. Updated May 4, 2007. |
|
CSA Staff Notice 51-312 Harmonized Continuous Disclosure
Review Program
|
In effect July 16, 2004 |
|
|
CSA Staff Notice 51-314
Retirement Benefits Disclosure |
In effect January 14, 2005 |
Provides guidance to issuers to
include in Statements of Executive Compensation disclosure
of retirement benefits. |
|
CSA Staff Notice 51-316
Continuous Disclosure Review of Smaller Issuers |
In effect December 9, 2005 |
Summarizes some of the most
frequent deficiencies in the CD record of smaller issuers. |
|
CSA Staff Notice 51-322
Reporting Issuer Defaults |
In effect December 14, 2006 |
Sets out the deficiencies that
will result in a reporting issuer being noted in default of
securities laws. |
|
CSA Staff Notice 51-328
Continuous Disclosure Considerations Related to Current
Economic Conditions |
In effect January 8, 2009 |
Gives notice of specific areas
that issuers should note for disclosure to help investors
understand the risks and circumstances facing issuers in
the current unusual economic conditions. |
|
Local Policy 51-601
Reporting Issuers in Default |
In effect December 14, 2006 |
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. |
|
CSA Staff Notice 57-303
Frequently asked questions regarding Management Cease
Trade Orders issued as a consequence of a failure to file
financial statements |
In effect April 29, 2005 |
|
|
National Instrument 52-107 Acceptable Accounting Principles, Auditing
Standards and Reporting Currency |
|
NI 52-107 Acceptable Accounting Principles, Auditing
Standards and Reporting Currency
Amendments to NI 52-107
|
In effect March 30, 2004.
Amended 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. |
|
Companion Policy 107CP |
In effect March 30, 2004 |
|
|
National Instrument 52-108 Auditor
Oversight |
|
NI 52-108 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. |
|
Multilateral Instrument 52-109 Certification of Disclosure
in Issuer's Annual and Interim Filings |
|
Restated NI
52-109 including Forms
|
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. |
|
Restated
CP 52-109 |
In
effect December 15, 2008 |
|
|
Form
52-109F1 - Certification of Annual Filings Full
Certificate |
In
effect December 15, 2008 |
|
|
Form
52-109FV1 - Certification of Annual Filings Venture
Issuer Basic Certificate |
In
effect December 15, 2008 |
|
|
Form 52-109F1-IPO/RTO - Certification of Annual
Filings Following an Initial Public Offering, Reverse
Takeover or Becoming a Non-Venture Issuer |
In
effect December 15, 2008 |
|
|
Form
52-109F1R - Certification of Refiled Annual Filings |
In
effect December 15, 2008 |
|
|
Form
52-109F1-AIF - Certification of Annual Filings in
Connection With Voluntarily Filed AIF |
In
effect December 15, 2008 |
|
|
Form
52-109F2 - Certification of Interim Filings Full
Certificate
|
In
effect December 15, 2008 |
|
|
Form
52-109FV2 - Certification of Interim Filings Venture
Issuer Basic Certificate |
In
effect December 15, 2008 |
|
|
Form 52-109F2-IPO/RTO - Certification of Interim
Filings Following an initial Public Offering, Reverse
Takeover or Becoming a Non-Venture Issuer |
In
effect December 15, 2008 |
|
|
Form
52-109F2R - Certification of Refiled Interim Filings |
In
effect December 15, 2008 |
|
|
Multilateral Instrument 52-110 Audit
Committees |
|
MI 52-110 Audit Committees
Amendments to MI 52-110
Amendments
|
In effect March 30, 2004. Amended 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. |
|
Companion Policy 52-110 CP
Amendment to 52-110CP
Amendments to 52-110CP |
In effect March 30, 2004. Amended
June 30, 2005. In
effect March 17, 2008
In effect July 8, 2008
|
|
|
Form
52-110F1 - Audit Committee Information Required in an AIF |
|
|
|
Form
52-110F2 - Disclosure by Venture Issuers |
|
|
|
CSA Staff Notice 52-309
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 |
CSA Staff Notice 52-312 Audit
Committee Compliance Review
|
In effect January 13, 2006 |
Sets out the results of the
CSA's review of issuers' compliance with MI 52-110 |
|
National Instrument 54-101 Communication with
Beneficial Owners of Securities of a Reporting Issuer |
NI 54-101 Communication with
Beneficial Owners of Securities of a Reporting Issuer
|
In effect July 1, 2002.
Amended February 9, 2005 |
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. |
Companion Policy 54-101 CP
|
In effect July 1, 2002.
Amended on February 9, 2005 |
Companion policy to NI 54-101. |
|
54-101F1
Explanation to Clients and Client Response Form |
In effect July 1, 2002 |
Form to NI 54-101. |
|
54-101F2 Request
for Beneficial Ownership Information |
In effect July 1, 2002 |
Form to NI 54-101. |
|
54-101F3
Omnibus Proxy (Depositories) |
In effect July 1, 2002 |
Form to NI 54-101. |
|
54-101F4 Omnibus
Proxy (Proximate Intermediaries) |
In effect July 1, 2002 |
Form to NI 54-101. |
|
54-101F5
Electronic Format for NOBO List |
In effect July 1, 2002 |
Form to NI 54-101. |
|
54-101F6 Request
for Voting Instructions made by Reporting Issuer |
In effect July 1, 2002 |
Form to NI 54-101. |
|
54-101F7 Request
for Voting Instructions made by Intermediary |
In effect July 1, 2002 |
Form to NI 54-101. |
|
54-101F8 Legal
Proxy |
In effect July 1, 2002 |
Form to NI 54-101. |
|
54-101F9
Undertaking |
In effect July 1, 2002 |
Form to NI 54-101. |
|
CSA Staff Notice 54-301 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 NI 54-101
Communication with Beneficial Owners of Securities of a
Reporting Issuer |
|
National Instrument 55-101 Exemption from Insider Trading |
|
NI 55-101 Exemption from Insider Trading
|
In effect in Saskatchewan June 6, 2001. Amended
and restated April 30, 2005. |
Provides certain exemptions from the insider reporting obligation. |
Companion Policy 55-101CP
|
In effect in Saskatchewan June 9, 2001. Amended
and restated April 30, 2005 |
Companion Policy to National Instrument 55-101 Exemption from Insider Trading. |
|
National Instrument 55-102 System for Electronic Disclosure by Insiders
(SEDI) |
NI 55-102 System for Electronic Disclosure by Insiders
(SEDI)
|
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. |
|
Companion Policy 55-102CP
|
In effect Oct 29, 2001. Amended as of August 20,
2005 |
Companion Policy to National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI) |
|
Form 55-102F1 Insider Profile |
|
|
|
Form 55-102F2 Insider Report |
|
|
|
Form 55-102F3 Issuer Profile Supplement |
|
|
|
Form 55-102F4 Issuer Event Report |
|
|
|
Form 55-102F5
SEDI User Registration Form |
|
|
|
Form 55-102F6 Insider Report |
Consolidated
incorporating amendments in effect June 13, 2008 |
|
|
Amendments to Forms 55-102F1, F2, F3 and F6 |
In effect June 13, 2008 |
|
|
CSA Staff
Notice 55-310 Questions
and Answers on SEDI |
In effect April 11, 2003. Revised August 19, 2005 |
Provides questions and answers
on using SEDI |
|
Multilateral Instrument 55-103 Insider
Reporting for Certain Derivative Transactions (Equity Moneitization) |
|
MI 55-103 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.
|
|
Companion Policy 55-103CP |
In effect February 28, 2004 |
Companion Policy to MI 55-103
Insider Reporting for Certain Derivative Transactions
(Equity Moneitization) |
|
CSA Staff Notice 55-312 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. |
|
National Instrument 58-101 Disclosure
of Corporate Governance Practices |
|
NI 58-101 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 58-101F1Corporate
Governance Disclosure |
|
|
|
Form 58-101F2
Corporate Governance Disclosure (Venture Issuers) |
|
|
|
National Policy
58-201 Corporate Governance Practices |
In effect June 30, 2005 |
Provides guidance on corporate
governance practices. |
|
CSA Staff Notice 58-302 Implementation
of NP 58-201 Corporate Governance Guidelines and NI
58-101 Disclosure of Corporate Practices |
In effect January 21, 2005 |
|
|
National Instrument 62-103 Early Warning System
& Related Take-over Bid & Insider Reporting Issues
|
|
NI 62-103 Early Warning System
& Related Take-over Bid & Insider Reporting Issues
|
In effect nationally Mar 15, 2000. In Saskatchewan Apr 19, 2000.
Amended March 30, 2004.
Amended September 14, 2005. Consolidated to February
1, 2008 |
Provides exemptions from the early warning requirements, the insider reporting requirement, and related provision to certain institutional investors that have a "passive intent" with respect to their ownership or control of securities of
reporting issuers.
|
|
Multilateral Instrument 62-104 Take-Over Bids and Issuer
Bids |
|
MI 62-104 Take-Over Bids and Issuer Bids
|
In effect February 21, 2008. |
Sets out requirements for
take-over and issuer bids. |
|
Form 62-104F1 Take-Over Bid Circular |
|
|
|
Form 62-104F2 Issuer Bid Circular |
|
|
|
Form 62-104F3 Directors' Circular |
|
|
|
Form 62-104F4 Director's or Officer's Circular |
|
|
|
Form 62-104F5 Notice of Change or Notice of Variation |
|
|
|
National Policy 62-203
Take-Over Bids and Issuer Bids |
|
National Policy 62-203 Take-Over Bids and Issuer Bids |
In effect February 1, 2008 |
Contains explanations and
discussions of Multilateral Instrument 62-104 Take-Over
Bids and Issuer Bids, Part XX - Take-Over Bids and
Issuer Bids of the Securities Act (Ontario) and
Ontario Securities Commission Rule 62-504 Take-Over Bids
and Issuer Bids. |
|
National Instrument 71-101 The Multijurisdictional
Disclosure System |
|
NI 71-101 The Multijurisdictional Disclosure System |
In effect nationally Nov 1, 1998. In Saskatchewan on Aug 23, 2000. |
Reformulates the multi jurisdictional disclosure system, a joint initiative implemented in 1991 by the CSA and the Securities and Exchange Commission of the United States to reduce duplicative regulation in cross-border offerings, issuer bids, take-over
bids, business combinations and continuous disclosure and other filings. |
|
Companion Policy 71-101CP |
|
|
|
Saskatchewan GRO 71-801 Multijurisdictional Disclosure System |
In effect July 3, 1991. |
Implements the Multijurisdictional Disclosure System under National Policy 45. |
|
National Instrument 71-102 Continuous
Disclosure and Other Exemptions Relating to Foreign Issuers
|
|
NI 71-102 Continuous
Disclosure and Other Exemptions Relating to Foreign Issuers
Amendments to NI 72-102
|
In effect March 30, 2004.
Amended December 29, 2006
In effect December 31, 2007
|
Provides relief from most of
the requirements of NI 51-102 Continuous Disclosure
Obligations for certain foreign issuers. |
|
Companion Policy 71-102CP |
In effect March 30, 2004 |
|
|
National Instrument 81-101 Mutual Fund
Prospectus Disclosure |
|
NI 81-101 Mutual Fund
Prospectus Disclosure
Amendments to NI 81-101
Amendments to NI 81-101
Amendments to Form 81-101F1
Amendments to Form 81-101F2
|
In effect nationally Feb 1,
2000. In Saskatchewan Apr 19, 2000. Amended national
instrument in effect June 6, 2001. Fund
of fund amendments effective Dec 31, 2003.
In effect Nov 1, 2006.
In effect March 17, 2008.
In effect March 17, 2008.
In effect March 17, 2008.
|
Implements a new regulatory regime governing the disclosure provided by mutual funds in satisfaction of the prospectus requirements of securities legislation. Requires the preparation and filing of a simplified prospectus and annual information form by all
mutual funds in a prescribed form. |
|
Companion Policy 81-101CP
Amendments
to CP 81-101CP
|
In effect nationally Feb 1, 2000. In Saskatchewan Apri19, 2000.
June 6, 2001 In effect
March 17, 2008 |
|
|
National
Instrument 81-102 Mutual Funds |
|
NI 81-102 Mutual Funds
Amendments to NI 81-102 |
In effect nationally Feb 1, 2000. In Saskatchewan Apr 19, 2000. Amended June 6, 2001. Fund
of fund amendments effective December 31, 2003.
Amended June 1, 2005. Amended November 1, 2006 In effect
September 8, 2008 |
Regulates all publicly offered investment funds that give investors the right to redeem securities on demand, including specialized mutual funds such as labour sponsored investment funds and mortgage funds. |
|
Companion Policy 81-102CP
Amendments to CP 81-102CP |
In effect nationally Feb 1, 2000. In Saskatchewan Apr 19, 2000.
Amended June 6, 2001. Amended June 1, 2005 In effect
September 8, 2008 |
|
|
Multilateral Instrument 81-104 Commodity Pools |
|
MI 81-104
Commodity Pools
Amendments to NI 81-104
Amendments to MI 81-104
Amendments to MI 81-104
|
In effect November 1, 2002.
Amended on
September 19, 2005.
In effect Nov. 1, 2006
In effect March 17, 2008.
In effect March 17, 2008. |
Sets out the rules that govern the operation of commodity
pools. Allows them to invest in commodities and use
derivatives in ways not permitted for conventional mutual
funds.
|
|
Companion Policy 81-104CP
Amendments
to CP 81-104CP
Amendments
to CP 81-104CP |
In effect November 1, 2002.
In effect March 17, 2008.
In effect March 17, 2008. |
|
|
National Instrument 81-105 Mutual Fund Sales
Practices |
|
NI 81-105 Mutual Fund Sales
Practices |
In effect nationally May 1, 1998. In Saskatchewan Jan 17, 2000. |
Imposes restrictions on certain sales and business practices followed by managers and principal distributors of publicly offered mutual funds, and registered dealers and their sales representatives who sell them. |
|
Companion Policy 81-105CP |
In effect Saskatchewan April 19, 2000. |
|
|
National Instrument 81-106 Investment
Fund Continuous Disclosure |
|
NI 81-106 Investment
Fund Continuous Disclosure
Amendments to NI 81-106
Amendments to NI 81-106 |
In effect June 1, 2005.
Amended November 1, 2006
In effect July 4, 2008
In effect September 8, 2008 |
Sets out continuous disclosure
obligations of investment funds. |
|
Companion Policy 81-106CP
Amendments to CP 81-106CP |
In effect June 1, 2005 In effect
September 8, 2008 |
|
|
Form 81-106F1
Contents of Annual and Interim Management Report of Fund
Performance
Amendments to Form 81-106F1 |
In effect September 8, 2008 |
|
|
National Instrument 81-107
Independent Review Committee for Investment Funds |
|
NI
81-107 - Independent Review Committee for Investment Funds |
In effect Nov 1, 2006 |
Requires investment funds to
have an independent review committee that decide matters
relating to conflicts of interest that the fund manager
refers to them. |
|
|
