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Securities Division |
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Documents Published for Comment |
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National Instruments |
Corporate
Governance Guidelines and Disclosure
Notice
and Request for Comment
National
Policy 58-201 Corporate Governance Guidelines
National
Instrument 58-101 Disclosure of Corporate Governance
Practices with Forms 58-101F1 and F2
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October 29, 2004 |
December 13, 2004 |
Amendments
to Multilateral Instrument 52-110 Audit Committees
Notice
and Request for Comment
Amendments
to MI 52-110 and Forms 52-110F1 and F2
Amendments
to Companion Policy to MI 52-110
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October 29, 2004 |
January 27, 2005 |
National
Instrument 43-101 Standards of Disclosure for Mineral
Projects - Proposed Repeal and Replacement
Notice
and Request for Comment
National Instrument 43-101
National Instrument 43-101 blacklined to show changes
Companion Policy to NI 43-101
Companion Policy blacklined to show changes
Form 43-101F1 Technical Report
Form 43-101F1 blacklined to show changes
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September 10, 2004 |
December 10, 2004 |
National
Instrument 81-106 Investment Fund Continuous Disclosure
Notice
and Request for Comment
Appendix
B - Summary of Comments on NI 81-106 published for comment
September 23, 2002
Final
Report for OSC prepared by COMPAS Inc.
Appendix
C - Consequential Amendments to NI 81-101 Mutual Fund
Prospectus Disclosure, Companion Policy and forms
Appendix
D - Consequential Amendments to NI 81-102 Mutual Funds
and Companion Policy
Appendix
E - Consequential Amendments to NI 13-101 SEDAR
Appendix
F - Consequential Amendments to MI 81-104 Commodity Pools
and Companion Policy
Appendix
G - Consequential Amendments to MI 51-102 Continuous
Disclosure Obligations
Appendix
H - Consequential Amendments to NI 52-107 Acceptable
Accounting Principles, Auditor Standards and Reporting Currency
National
Instrument 81-106 Investment Fund Continuous Disclosure
Companion
Policy to NI 81-106
Form
81-106F1 Contents of Annual and Interim Management Report of
Fund Performance
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May 28, 2004 |
July 27, 2004 |
Proposed
Exemptions for Certain Capital Accumulation Plans
CSA
Notice 81-405 Request for Comment
Proposed
Registration and Prospectus Exemption for Trades in Certain
Capital Accumulation Plans
Appendix
A - Report of Exempt Distribution for Certain Mutual Fund
Securities under the Capital Accumulation Plan Exemption
Guidelines
for Capital Accumulation Plans
Summary
of Comments on Proposed Guidelines
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May 28, 2004 |
July 30, 2004 |
Amendments
to NI 55-101 Exemption from Certain Insider Reporting
Requirements
Notice
and Request for Comment
Amended NI 55-101- black-lined
Amended Companion Policy to NI 55-101- black-lined
Amended NI 55-101
Amended Companion Policy to NI 55-101
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May 14, 2004 |
August 13, 2004 |
National
Instrument 24-101 Post-Trade Matching and
Settlement
Notice
and Request for Comment
CSA Discussion Paper 24-401 Straight-through Processing
and Request for Comments
NI
24-101
Companion
Policy
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April 16, 2004 |
July 16, 2004 |
Amendments to National
Instrument 44-101 Short Form Prospectus Offerings
Request
for Comment
Amendments to NI 44-101
Amendments to Companion Policy
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Jan 30, 2004 |
April 29, 2004 |
Multilateral
Policy 58-201 Effective
Corporate Governance and Multilateral Instrument 58-101
Disclosure of Corporate Governance Practices
Request
for Comment
MP
58-201
MI
58-101
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Jan 16, 2004 |
April 15, 2004 |
National
Instrument 81-107 Independent Review Committee for
Mutual Funds
Request
for Comment
NI 81-107
Summary of Comments on Concept
Proposal 81-402 - Striking a New Balance: A
Framework for Regulating Mutual Funds and their
Managers
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Jan 13, 2004 |
April 9, 2004 |
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National
Instrument 31-101 Requirements under the National
Registration System and National Policy 31-201 National
Registration System
Request
for Comment
National Policy 31-201
National Instrument 31-101
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Jan 9, 2004 |
March 30, 2004 |
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National
Policy 41-201 Income Trusts and Other Indirect
Offerings
Notice
and Request for Comment
National Policy 41-201
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October 24, 2003 |
December 23, 2003 |
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Amendments
to National Instrument 54-101 Communication with Beneficial
Owners of Securities of a Reporting Issuer
Notice
and Request for Comment
Amendments to National Policy 54-101
Amendments to Companion Policy 54-101CP
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October 15, 2003 |
January 2, 2004 |
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CSA Notice 33-403 - Joint Forum
Requests Comments on Principles and Practices for the Sale
of Products and Services in the Financial Sector
Notice
Cover Letter
Backgrounder
Principles and Practices for the Sale of Products and
Services in the Financial Sector
A Consumer's Guide to Financial Transactions
Industry Examples
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March 6, 2003 |
Comment period ends May 29,
2003. |
Consultation Paper 81-403 -
Rethinking Point of Sale Disclosure for Segregated Funds
and Mutual Funds
Consultation Paper
Legal Paper
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February 14, 2003 |
Comment period ends on April
30, 2003 |
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CSA Notice 33-401 Canadian Capital Markets Association T + 1 Paper |
Published April 6, 2001 |
Comment period expires May 8, 2001 |
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Local Instruments |
Saskatchewan
Local Instrument 32-501 Deposit Agents
Notice and
Request for Comment
Local
Instrument 32-501
Form
32-501F1 Report by Mutual Fund Dealer Pursuant to Clause
4(d)
Form
32-501F2 Application for Registration as a Deposit Agent
Form
32-501F3 Salespersons and Officials Application for Registration
Form
32-501F4 Deposit Agent Annual Report
Form
32-501F5 Auditor's Report on Compliance with Local
Instrument 32-501
Form
32-501F6 Financial Institution Annual Report
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September 8,
2004
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November 15,
2004
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