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Saskatchewan Instrument 11-501 Conflicts of Interest |
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Conflicts
of Interest
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May 9, 2003 |
Sets out
conflict of interest rules that govern Commission members and
employees who administer the provisions of The Securities
Act, 1988. |
Form 11-501F1 Initial Undertaking
Form 11-501F2 Annual Certificate of Compliance
Form 11-501F3 Portfolio Statement |
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Companion
Policy 11-501CP |
May 9, 2003 |
Companion policy to Local
Instrument 11-501 |
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Saskatchewan Instrument 11-502 Removal of Statutory
Exemptions |
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Removal of
Statutory Exemptions |
September 19, 2005 |
Removes the prospectus and
registration exemptions in The Securities Act, 1988.
These exemptions are replaced by
NI 45-106
Prospectus and Registration Exemptions. |
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Saskatchewan Instrument 14-501 Definitions |
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Definitions |
Jan 17, 2000. |
Defines certain terms used in Commission regulations. |
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Saskatchewan Instrument 31-501 SRO Membership for
Securities Dealers and Brokers |
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SRO Membership for Securities Dealers and Brokers |
Mar 15, 2001 |
Requires securities dealers and brokers to apply for membership with the Investment Dealers Association of Canada by May 31, 2001 and to become members by July 2, 2002. |
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Saskatchewan Instrument 31-502 SRO Membership for
Mutual Fund Dealers |
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SRO Membership for Mutual Fund Dealers |
Mar 15, 2001 |
Requires mutual fund dealers to apply for membership with the Mutual Fund Dealers Association by May 31, 2001 and to become members by July 2, 2002. |
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Saskatchewan Instrument 32-501 Deposit Agents |
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Local Instrument
32-501 Deposit Agents
Appendix
A - Submission to Jurisdiction
Appendix
B - Undertaking to Provide Information
Appendix
C - Disclosure Statement to New Clients
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January 1, 2005
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Requires intermediaries who
trade in guaranteed investment certificates to be
registered. Also imposes reporting requirements on
financial institutions.
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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
Form 32-501F6
- Financial Institution Annual Report
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Saskatchewan
Staff Notice 32-802 Saskatchewan Local Instrument 32-501
Deposit Agents |
October 1, 2006 |
Gives notice that LI 32-501
Deposit Agents is suspended indefinitely. |
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General
Exemption Order 32-801 Suspension of Local Instrument
32-501 Deposit Agents |
December 5, 2006. Amended
Feb 13, 2006. Amended October 1, 2006. |
Suspends the implementation of
LI 32-501 indefinitely. |
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Saskatchewan Instrument 33-502 Requirements for Sale
of Certain Securities |
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Requirements for Sale of Certain Securities
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Jan 17, 2000.
Amended June 16, 2003. Amended Dec 31, 2004.
Amended September 19, 2005.
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Imposes requirements on registrants selling securities under certain statutory exemptions. Requires sellers of scholarship plan securities to provide disclosure of certain details. Imposes additional requirements on sellers of labour-sponsored venture
capital fund securities. |
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Companion Policy to Saskatchewan Local Instrument 33-502 Requirements for Sale of Certain Securities |
Jan 17, 2000.
Amended June 16, 2003. |
Reminds sellers of certain exempt securities of existing reporting obligations under
The Securities Act, 1988 |
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General Exemption Order
33-905
Exemption from Certain
Provisions of Section 15 of Local Instrument 32-502
Requirements for Sale of Certain Securities |
Feb 23, 2005 |
Exempts managers doing a
suitability review of a labour-sponsored venture fund
security required by section 15 of Local Instrument
32-502 from the requirement to complete the Partners',
Directors' and Officers' Examination if they have
completed the Branch Managers' Course. |
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Saskatchewan Instrument 33-503 Permanent Registration
System |
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Permanent Registration System |
Jan 9, 2002. Amended
Dec 31, 2004. |
Implements a permanent registration system in Saskatchewan for dealers and advisors. |
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Saskatchewan Notice 33-709
Annual
Delivery of Registration Fees and Documents |
Nov 24, 2003 |
Describes the process for
the annual filing of documents and payment of fees. |
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Companion Policy to Saskatchewan Local Instrument 33-503 Permanent Registration |
Jan 9, 2002. Amended
May 9, 2003. |
Provides additional guidance regarding filings under Local Instrument 33-503 Permanent Registration System. |
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Saskatchewan Notice 33-709
Annual
Delivery of Registration Fees and Documents |
Nov 24, 2003 |
Describes the process for
the annual filing of documents and payment of fees. |
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Saskatchewan Instrument 46-501 Disclosure of Cash
Calls |
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Disclosure of Cash Calls |
Jan 17, 2000. |
Imposes additional disclosure requirements when the terms of a limited partnership agreement in an offering include a cash call. |
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Saskatchewan Instrument 47-501 Marketing
Communications |
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Marketing Communications |
Sept 19, 2000. |
Set standards that apply to marketing communications. A "marketing communication" is any oral or written communication disseminated by any means by or on behalf of an issuer to promote a trade or that could reasonably be regarded as promoting
a trade in a security (other than a mutual fund security) of the issuer or of an affiliate of the issuer. |
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Companion Policy to Local Instrument 47-501 Marketing Communications |
Sept 19, 2000. |
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