|
Multilateral Instrument 11-101 Principal Regulator System |
|
MI 11-101
Principal Regulator System
|
In effect September 19, 2005.
Amended as of December 30, 2005
|
|
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 |
|
|
|
|
Form
11-101F1 Notice of Principal Regulator |
|
|
|
|
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 |
|
National Instrument 13-101 System for Electronic Document
Analysis and Retrieval (SEDAR) |
|
NI 13-101 System for Electronic Document
Analysis and Retrieval (SEDAR)
SEDAR Filer Manual Version 8.3
Amendments to NI 13-101 |
In effect nationally Jan 1, 1997. In Saskatchewan Jan 17, 2000.
Amended September 30, 2003. Amended March 30, 2004.
In effect October 27, 2006
In effect Nov. 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. |
|
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 |
In effect nationally April 1, 1997. In Saskatchewan Jan 17, 2000.
Amended December 31, 2002. |
|
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 |
In effect Dec 1, 2001. Amended May 20, 2004 |
|
Regulates all securities marketplaces operating in Canada including exchanges, quotation and trade reporting systems and alternate trading systems. |
|
Companion Policy 21-101CP |
In effect Dec 1, 2001. Amended May 20, 2004 |
|
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 |
In effect Dec 1, 2001. Amended on May 20, 2004 |
|
Sets out common trading rules that apply to all trading whether on a marketplace or not. |
|
Companion Policy 23-101CP |
In effect Dec 1, 2001
Amended on May 20, 2004
|
|
Companion Policy to National Instrument 23-101 Trading Rules |
|
National Instrument 31-101 National Registration System
|
|
NI 31-101 National
Registration System
Amendments |
In effect April 4, 2005
In effect
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
Amendments |
In effect April 4, 2005
In effect
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. |
|
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 |
|
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 Prospectus
Disclosure Requirements |
|
NI 41-101 Prospectus
Disclosure Requirements |
In effect in Saskatchewan Mar 9, 2001 |
|
Consolidates the prospectus disclosure requirements in National Policy Statement No. 12 Disclosure of "Market Out" Clauses in Underwriting Agreements in Prospectuses, National Policy Statement No. 32 Prospectus Warning Re: Scope of
Distribution and National Policy Statement No. 35 Purchaser’s Statutory Rights. |
|
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
|
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 |
|
Prescribes conditions for the use of a short form prospectus to distribute securities to the public. |
|
Amendments to NI 44-101 |
In effect December 29, 2006 |
|
|
|
Companion Policy 44-101CP
|
In effect in Saskatchewan Mar 9, 2001.
Amended March 30, 2004.
Amended Jan 4, 2005. Amended and
restated December 30, 2005. |
|
|
|
Form 44-101F1 Short Form Prospectus
Amendments 44-101F1
|
In effect December 30, 2005
In effect December 29, 2006 |
|
|
|
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
Appendix A
Appendix B
|
In effect in Saskatchewan Mar
9, 2001. Amended
December 30, 2005
|
|
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") |
|
Companion Policy 44-102CP
|
In effect in Saskatchewan Mar 9, 2001.
Amended
December 30, 2005 |
|
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
|
In effect in Saskatchewan Mar 9, 2001.
Amended
December 30, 2005 |
|
Regulates the Canadian post-receipt pricing regime. Reformulates and replaces the provisions of NP44 relating to post-receipt pricing. |
|
Companion Policy 44-103CP
|
In effect in Saskatchewan Mar 9, 2001.
Amended December 30, 2005 |
|
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. |
|
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 Multilateral 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 Multilateral Instrument 45-102. Also amends prior Commission rulings to substitute the resale rules in MI 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 |
|
|
|
|
Form 45-106F1 Report of Exempt Distributions
Form 45-106F2 Offering Memorandum for Non-Qualifying
Issuers
Form 45-106F3 Offering Memorandum for Qualifying Issuers
Form 45-106F4 Risk Acknowledgement
Form 45-106F5 Risk Acknowledgement - Saskatchewan Close
Personal Friends and Close Business Associates |
|
|
|
|
CSA Staff Notice 45-304
Notice of Local Exemptions Related to NI 45-106
CSA Staff Notice 45-305
Frequently Asked Questions About 45-106 |
In effect September 9, 2005
In effect December 2, 2005
|
|
|
|
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 |
In effect September 30, 2003.
Amended September 19, 2005. Amended
December 30, 2005 |
|
Sets out disclosure
requirements for oil and gas issuers. |
|
Companion Policy 51-101CP
List
of professional organizations which supercedes the list in
section 1.5(b)
|
In effect September 30, 2003.
Amended December 30, 2005
In effect
Jan 19, 2004
|
|
Companion Policy to NI 51-101 |
|
Form
51-101F1 Statement of Reserves Data and Other Oil and
Gas Information
Form
51-101F2 - Report on Reserves Data by Independent Qualified
Reserves Evaluator
Form
51-101F3 - Report of Management and Directors on Oil and
Gas Disclosure |
|
|
|
|
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"
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. |
|
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
|
In effect March 30, 2004. Amended
December 30, 2005.
|
|
Prescribes the continuous
disclosure requirements that apply to reporting
issuers. |
|
Amendments to NI 51-102 Continuous Disclosure
Obligations |
In effect December 29, 2006. |
|
|
|
Companion Policy
51-102 |
In effect March 30, 2004 |
|
|
|
Form
51-102F1 Management's Discussion and Analysis
Amended Form 51-102F1
Form
51-102F2 Annual Information Form
Amended Form 51-102F2
Form
51-102F3 Material Change Report
Amended Form 51-102F3
Form
51-102F4 Business Acquisition Report
Amended Form 51-102F4
Form
51-102F5 Information Circular
Amended Form 51-102F5
Form
51-102F6 Executive Compensation
Amended Form 51-102F6 |
In effect December 29, 2006.
In effect December 29, 2006
In effect December 29, 2006
In effect December 29, 2006
In effect December 29, 2006
In effect December 29, 2006 |
|
|
|
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 Continuous
Disclosure Obligations |
In effect March 26, 2004. Updated April 23, 2004.
Updated June 18, 2004 |
|
|
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 effective December 14, 2006 |
|
Sets out the deficiencies that
will result in a reporting issuer being noted in default of
securities laws. |
|
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 52-107 |
In effect March 30, 2004
In effect December 29, 2006 |
|
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 |
In effect March 30, 2004 |
|
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 |
|
MI 52-109 Certification
of Disclosure in Issuer's Annual and Interim Filings
Amendments to NI 52-109
|
In effect March 30, 2004
In effect
June 6, 2005
The June 6, 2005 amendments to NI 52-109 allow certifying
officers to omit certain certifications in this form filed
for financial years ending on or before June 29, 2006.
The June 6, 2005 amendments to
NI 52-109 also allow certifying officers to omit certain
certifications in this form filed for financial years
ending on or before June 29, 2006.
|
|
Requires the CEO and CFO of an
issuer to personally certify the issuer's annual and
interim filings with respect to certain matters. |
|
Companion Policy 52-109CP
|
In effect March 30, 2004. Amended
June 5, 2005. |
|
|
|
Form
52-109F1 - Certification of Annual Filings
Form
52-109FT1 - Certification of Annual Filings during
Transition Period
Form
52-109F2 - Certification of Interim Filings
Form
52-109FT2 - Certification of Interim Filings during
Transition Period |
|
|
|
|
CSA Staff Notice 52-311Required
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. |
|
CSA Staff Notice 52-312
Audit Committee Compliance Review |
In effect January 13, 2006 |
|
Outlines the results of CSA
staff review of compliance with MI 52-110 Audit
Committees. |
|
CSA Staff Notice 52-313
Status of Proposed MI 52-111 Reporting on Internal
Control over Financial Reporting |
March 10, 2006 |
|
Updates market
participants on the status of the CSA's deliberations on
proposed internal control reporting requirements. |
|
CSA Staff Notice 52-315
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. |
|
CSA Staff Notice 52-316
Certification of Design of Internal Control 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. |
|
CSA Staff Notice 57-302 Failure
to File Certificates under MLI 52-109 Certifications of
Disclosure in Issuers' Annual and Interim Filings |
In effect February 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. |
|
Multilateral Instrument 52-110 Audit
Committees |
|
MI 52-110 Audit Committees
|
In effect March 30, 2004. Amended June 30, 2005. |
|
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
|
In effect March 30, 2004. Amended
June 30, 2005. |
|
|
|
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
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. |
|
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 |
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National Instrument 55-101 Exemption from Insider Trading |
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NI 55-101 Exemption from Insider Trading
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In effect in Saskatchewan June 6, 2001. Amended
and restated April 30, 2005. |
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Provides certain exemptions from the insider reporting obligation. |
Companion Policy 55-101CP
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In effect in Saskatchewan June 9, 2001. Amended
and restated April 30, 2005 |
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Companion Policy to National Instrument 55-101 Exemption from Insider Trading. |
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National Instrument 55-102 System for Electronic Disclosure by Insiders
(SEDI) |
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NI 55-102 System for Electronic Disclosure by Insiders
(SEDI)
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In effect Oct 29, 2001
Amended as of August 26,
2003
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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. |
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Companion Policy 55-102CP
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In effect Oct 29, 2001. Amended as of August 20,
2005 |
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Companion Policy to National Instrument 55-102 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
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CSA Staff
Notice 55-310 Questions
and Answers on SEDI |
In effect April 11, 2003. Revised August 19, 2005 |
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Provides questions and answers
on using SEDI |
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Multilateral Instrument 55-103 Insider
Reporting for Certain Derivative Transactions (Equity Moneitization) |
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MI 55-103 Insider
Reporting for Certain Derivative Transactions (Equity Moneitization) |
In effect February 28, 2004 |
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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.
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Companion Policy 55-103CP |
In effect February 28, 2004 |
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Companion Policy to MI 55-103
Insider Reporting for Certain Derivative Transactions
(Equity Moneitization) |
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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. |
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National Instrument 58-101 Disclosure
of Corporate Governance Practices |
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NI 58-101 Disclosure
of Corporate Governance Practices |
In effect June 30, 2005 |
|
Requires issuers to disclose
the corporate governance practices that they have adopted.
Also requires issuers to file any written code that they
have adopted. |
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Form 58-101F1
Form 58-101F2 |
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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 |
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National Instrument 62-103 Early Warning System
& Related Take-over Bid & Insider Reporting Issues
|
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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. |
|
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. |
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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. |
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Companion Policy 71-101CP |
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Saskatchewan GRO 71-801 Multijurisdictional Disclosure System |
In effect July 3, 1991. |
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Implements the Multijurisdictional Disclosure System under National Policy 45. |
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National Instrument 71-102 Continuous
Disclosure and Other Exemptions Relating to Foreign Issuers
|
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NI 71-102 Continuous
Disclosure and Other Exemptions Relating to Foreign Issuers
Amendments to 71-102 |
In effect March 30, 2004
In effect December 29, 2006 |
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Provides relief from most of
the requirements of NI 51-102 Continuous Disclosure
Obligations for certain foreign issuers. |
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Companion Policy 71-102CP |
In effect March 30, 2004 |
|
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National Instrument 81-101 Mutual Fund
Prospectus Disclosure |
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NI 81-101 Mutual Fund
Prospectus Disclosure
Amendments to NI 81-101
|
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 |
|
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. |
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Companion Policy 81-101CP
|
In effect nationally Feb 1, 2000. In Saskatchewan Apri19, 2000.
June 6, 2001 |
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National
Instrument 81-102 Mutual Funds |
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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.
In effect Nov. 1, 2006 |
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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. |
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Companion Policy 81-102CP
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In effect nationally Feb 1, 2000. In Saskatchewan Apr 19, 2000.
Amended June 6, 2001. Amended June 1, 2005 |
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Multilateral Instrument 81-104 Commodity Pools |
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MI 81-104 Commodity Pools
Amendments to NI 81-104 |
In effect November 1, 2002.
Amended on
September 19, 2005
In effect Nov. 1, 2006 |
|
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.
|
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Companion Policy 81-104CP |
In effect November 1, 2002. |
|
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National Instrument 81-105 Mutual Fund Sales
Practices |
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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. |
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Companion Policy 81-105CP |
In effect Saskatchewan April 19, 2000. |
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National Instrument 81-106 Investment
Fund Continuous Disclosure |
|
NI 81-106 Investment
Fund Continuous Disclosure
Amendments to NI 81-106 |
In effect June 1, 2005
In effect Nov. 1, 2006 |
|
Sets out continuous disclosure
obligations of investment funds. |
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Companion Policy 81-106CP |
In effect June 1, 2005 |
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Form 81-106F1
Contents of Annual and Interim Management Report of Fund
Performance |
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National Instrument 81-107
Independent Review Committee for Investment Funds |
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NI
81-107 - Independent Review Committee for Investment Funds |
In effect Nov 1, 2006 |
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An independent oversight regime
for all publicly offered investment funds that is intended
to improve investment fund governance. |
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