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National Policy 11-201 Delivery of Documents by
Electronic Means |
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NP 11-201 Delivery of
Documents by Electronic Means
Amendments Consolidated
version |
In effect Jan 1, 2000.
In effect Feb 14, 2003 |
States the views of the CSA on how obligations imposed by securities legislation to deliver documents can be satisfied by electronic means. |
|
National Policy 11-202
Process for Prospectus Reviews in Multiple Jurisdictions |
|
NP 11-202 Process for Prospectus Reviews in Multiple
Jurisdictions |
In effect March 17, 2008 |
Sets out the processes for
the filing and review of prospectuses in multiple
jurisdictions and includes interfaces for market
participants in passport applications to gain access to the
Ontario markets. |
|
National Policy 11-203
Process for Exemptive Relief Applications in Multiple
Jurisdictions |
|
NP 11-203 Process for Exemptive Relief Applications
in Multiple Jurisdictions |
In effect March 17, 2008 |
Sets out the processes for
the filing and review of exemptive relief applications
in multiple jurisdictions and includes interfaces for
market participants in passport applications to gain
access to the Ontario markets. |
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National Policy 12-202
Revocation of a Compliance-related Cease Trade Order |
|
National
Policy 12-202 Revocation of a Compliance-related Cease
Trade Order
Amendments
to NP 12-202
|
In effect July 27, 2007.
In effect March 17, 2008. |
Outlines what issuers,
security-holders or other parties must do to apply for a
partial or full revocation of a compliance-related cease
trade order.
|
|
National Policy
12-203 Cease Trade Orders for Continuous Disclosure
Defaults |
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National Policy 12-203 Cease
Trade Orders for Continuous Disclosure Defaults |
In effect September 1, 2008.
|
Provides guidance to reporting
issuers, investors and market participants as to how the
CSA will generally respond to certain types of continuous
disclosure defaults. |
|
Staff Notice 12-304
Mutual Reliance Review System for Exemptive Relief Applications Frequently Occurring Issues |
In effect August 11, 2000 |
Gives guidance on procedures and issues under the Mutual Reliance Review System for Exmeptive Relief Applications. |
|
Staff Notice
12-307 Ceasing to be a Reporting
Issuer under the MRRS for Exemptive Relief Applications |
In effect Sept 12, 2003. Revised
Feb 4, 2005 |
Sets out a revised procedure
for applications to cease to be a reporting issuer. |
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Staff Notice 81-305 National Policy 12-201 Mutual Reliance Review System for Exemptive Relief Application ("ERA") - ERA and Applications for
Approvals or Exemptions under National Policy No. 39 "Mutual Funds". |
In effect November 19, 1999 |
Communicates the view of CSA staff on how the MRRS for Exemptive Relief Applications relates to applications for approvals and exemptions made under National Policy 39 Mutual Funds. |
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Staff Notice
12-309 Impact of the Principal
Regulator System on the MRRS for Exemptive Relief
Applications |
In effect September 19, 2005 |
Provides guidance on how the
principal regulator system works in conjunction with the
MRRS for Exemptive Relief for issuers that need an
exemption from continuous disclosure or prospectus
eligibility requirements. |
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National Policy 31-201 National Registration System |
|
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. |
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National Policy 34-201 Breach of Requirements of Other
Jurisdictions |
|
NP 34-201 Breach of
Requirements of Other Jurisdictions |
In effect Oct 16, 1998. |
Gives notice to registrants and applicants for registration that that a breach of the securities laws of another jurisdiction may be considered to affect the registrant's or applicant's fitness for registration. |
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Multilateral Policy 34-202 Registrants Acting as
Corporate Directors |
|
MP 34-202 Registrants Acting
as Corporate Directors |
In effect Oct 16, 1998. |
Expresses the views of the CSA as to the potential for conflicts of interest arising if a registrant acts as a director of or advisor to a reporting issuer. |
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National Policy 41-201 Income Trusts and Other Indirect
Offerings |
|
NP 41-201 Income
Trusts and Other Indirect Offerings
Amendments to NP 41-201 |
In effect December 3, 2004.
In effect December 31, 2007 |
Establishes a mutual reliance review system for prospectuses and AIFs. |
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National Policy 46-201 Escrow for Initial Public
Offerings |
|
NP 46-201 Escrow
for Initial Public Offerings
Form 46-201F1 Escrow Agreement |
In effect June 30, 2002 |
Describes the circumstances in which securities regulators will require an escrow of shares of a company on a initial public offering. Describes uniform terms of an escrow agreement to be used throughout Canada. |
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National Policy 47-201 Trading Securities Using the
Internet and Other Electronic Means |
|
NP 47-201 Trading Securities
Using the Internet and Other Electronic Means |
In effect Jan 1, 2000. |
States the views of the CSA on a number of matters relating to the use of the Internet and other electronic means of communication in connection with trades and distributions of securities. |
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National Policy 51-201 Disclosure Standards |
|
NP 51-201 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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National Policy 58-201 Corporate Governance Standards |
|
NP
58-201 Corporate Governance Practices |
In effect June 30, 2005 |
Provides guidance on corporate
governance practices. |
|
NI 58-101 Disclosure
of Corporate Governance Practices |
In effect June 30, 2005 |
Requires issuers to disclose
the corporate governance practices that it has adopted.
Also requires issuers to file any written code that they
have adopted. |
|
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 |
|
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National Policy 62-201 Bids Made Only in Certain
Jurisdictions |
|
NP 62-201 Bids Made Only in
Certain Jurisdictions |
In effect Aug 4, 1997. |
States that where a take-over bid or issuer bid is not made to security holders of the target company in one or more jurisdictions, the securities regulatory authority in the jurisdictions in which the bid is made may issue cease trade orders in respect of
the bid. |
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National Policy 62-202 Take-over Bids - Defensive
Tactics |
|
NP 62-202 Take-over Bids -
Defensive Tactics |
In effect Aug 4, 1997. |
States the view of the CSA on take-over bid defensive tactics. Indicates that securities regulatory authorities will take appropriate action if they become aware of defensive tactics that are likely to deny or limit the ability of shareholders to respond
to a take-over bid or competing bid. |
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National Policy 62-203 Take-Over Bids and Issuer Bids |
|
NP 62-203 Take-over Bids and Issuer Bids |
In effect Feb 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. |
