Government of Saskatchewan Western Red Lilies
Financial Services Commission
   Securities Division

 
 Documents Published for Comment
National Instruments
Notice and Request for Comment - Proposed Repeal and Substitution of Form 51-102F6 Statement of Executive Compensation

News Release

Notice and Request for Comment

Appendix A - Summary of Public Comments and CSA Responses

Appendix B - Summary of Changes to the 2007 Proposal

Appendix C - Proposed Form 51-102F6

Appendix D - Proposed Amendment Instrument for NI 51-102 Continuous Disclosure Obligations and Form 51-102F5 Information Circular

Published on February 22, 2008 Comment period ends April 22, 2008

 

CSA Releases Concept Paper - International Financial Reporting Standards

News Release

CSA Concept Paper 52-402

 

February 13, 2008 April 13, 2008
National Instrument 23-102 Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services

Notice and Request for Comment

Appendix A - Summary of Comments and Responses

Appendix B - Cost Benefit Analysis

NI 23-102

Companion Policy to NI 23-102

 

January 11, 2008 April 10, 2008
Request for Comment - National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI)

Notice and Request for Comment

Appendix A - Proposed amendments to NI 55-102

Appendix B - Proposed amendments to:

  • Form 55-102F1 Insider Profile,
  • Form 55-102F2 Insider Report,
  • Form 55-102F3 Issuer Profile Supplement, and
  • Form 55-102F6 Insider Report

 

Published on December 7, 2007 Comment periods ends on February 8, 2008
Notice and Request for Comment for Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations and  Companion Policy 51-102CP Continuous Disclosure Obligations and National Instrument 52-108 Auditor Oversight

Notice and Request for Comment

Appendix L - Proposed Amendments to NI 52-102  Continuous Disclosure Obligations

Appendix M - Proposed Amendments to Companion Policy 52-102CP  Continuous Disclosure Obligations

Appendix N - Proposed Amendments to National Instrument 52-108 Auditor Oversight

 

Published on October 12, 2007 Comment period ends January 11, 2008
Notice and Request for Comment - proposed National Policy 11-202 Process for prospectus reviews in multiple jurisdictions and National Policy 11-203 Process for exemptive relief applications in multiple jurisdictions and related repeals

Notice

National Policy 11-202 Process for prospectus reviews in multiple jurisdictions

National Policy 11-203 Process for exemptive relief applications in multiple jurisdictions

NP 11-203 - Schedule A - form of decision for passport application

NP 11-203 - Schedule B - form of decision for a dual application

NP 11-203 - Schedule C - form of decision for coordinated review application

NP 11-203 - Schedule D - form of decision for hybrid application

 

Published on August 31, 2007 Comment period ends October 30, 2007
Proposed Framework 81-406 Point of Sale Disclosure for Mutual Funds and Segregated Funds published for comment

News Release

Backgrounder

Proposed Framework 81-406

Appendix 1 - Fund Facts for mutual funds

Appendix 2 - Fund Facts for segregated funds

Appendix 3 - Key Facts for segregated funds

Appendix 4 - Investor research and other sources

Appendix 5 - Research Strategy Group Fund Facts Document Research Report

 

Published on June 15, 2007. Comment period ends on October 15, 2007.
Notice and Request for Comment - proposed amendments to National Instrument 81-106 Investment Fund Continuous Disclosure, Form 810106F1 and Companion Policy 81-106CP Investment Fund Continuous Disclosure and related amendments

CSA Notice and Appendix A - Summary of Amendments

Appendix B - NI 81-106 Amendment Instrument

Appendix C - Form 81-106F1 Amendment Instrument

Appendix D - Companion Policy 81-106CP Amendment Instrument

Appendix E - Form 81-101F2 Amendment Instrument

Appendix F - NI 81-102 Amendment Instrument

Appendix G - Companion Policy 81-102CP Amendment Instrument

Appendix H - NI 41-101 and Form 41-101F2 Amendment Instrument

Appendix I - Black-lined versions showing proposed amendments to NI 81-106, Form 81-106F1 and Companion Policy 81-106CP

Appendix J - Additional Information Required in Saskatchewan

 

Published on June 1, 2007 Comment period ends on August 31, 2007
Notice and Request for comment on proposed amendments to National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules

CSA News Release

Notice and Request for Comment

Amendments to NI 21-101, Companion Policy 21-101CP, NI 23-101 and Companion Policy 23-101CP

Cost-benefit Analysis of proposed amendments to NI 21-101 and NI 23-101

 

Published for comment on April 20, 2007 Comment period ends July 20, 2007
Notice an Request for Comment - proposed repeal and replacement of Multilateral Instrument 52-109, Forms 52-109F1, 52-109FT1, 52-109F2 and 52-019FT2 and Companion Policy 5-109CP Certification of Disclosure on Issuers' Annual and Interim Filings

CSA News Release

Notice and Request for Comment

Appendix A - Summary of Proposed Changes

Appendix B - List of Commenters

Appendix C - Summary of Comments

NI 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings   (includes attached Forms 52-109F1, 52-109FMP1, 52-109FM1, 52-109F1-IPO/RTO, 52-109F1R,  52-109F1-AIF, 52-109F2, 52-109F2-IPO/RTO and 52-109F2R)

Companion Policy 52-109CP

Published for comment on March 30, 2007 Comment period ends on June 28, 2007
Notice and Request for Comment - proposed National Instrument 11-102 Passport System and Form 11-102FI Notice of Principal Regulator and Registration in Additional Jurisdiction(s) and related amendments and repeals

CSA News Release

Notice and Request for Comment

National Instrument 11-102 Passport System

Form 11-102FI Notice of Principal Regulator and Registration in Additional Jurisdiction(s)

Companion Policy 11-102CP Passport System

Consequential amendments to National Policy 12-201Mutual Reliance Review System for Exemptive Relief Applications

Consequential amendments to National Instrument 14-101Definitions

Consequential amendments to National Instrument 58-101Disclosure of Corporate Governance Practices

Consequential amendments to National Instrument 81-104 Commodity Pools

Consequential amendments to Companion Policy 81-104CP Commodity Pools

Published for comment on March 28, 2007 Comment period ends May 28, 2007

Comment period extended to June 8, 2007

Notice and Request for Comment - proposed National Instrument 31-103 Registration Requirements and proposed amendments to Multilateral Instrument 33-109 Registration Information amending Form 31-109F1 and  Form 31-109F4 and adding Form 31-109F6

CSA News Release

Notice and Request for Comment

National Instrument 31-103 Registration Requirements

Companion Policy 31-103CP Registration Requirements

Form 31-109F1 - Notice of Termination

Form 31-109F4 - Application for Registration of Individuals and Permitted Individuals

Form 31-109F6 - Application for Registration as a Dealer, Adviser or Investment Fund Manager for Securities and/or Derivatives

Published for comment on February 20, 2007 Comment period ends on June 20, 2007
Notice and Request for Comment - proposed amendments to National Policy 41-201 Income Trusts and Other Indirect Offerings

Notice and Request for Comment

NP 41-201

 

Published for comment on January 5, 2007 Comment period ends on March 6, 2007
Notice and Request for Comment - proposed National Instrument 41-101 General Prospectus Requirements and Companion Policy 41-101CP General Prospectus Requirements and proposed repeal of NI 41-101 Prospectus Requirements

Notice and Request for Comment

Appendix A - Summary of Significant Provisions in the Proposed Rule

Appendix B (Schedule 1) - NI 41-101 General Prospectus Requirements

Appendix B (Schedule 2) - Form 41-101F1 Information Required in a Prospectus

Appendix B (Schedule 3) - Form 41-101F2 Information Required in an Investment Fund Prospectus

Appendix B (Schedule 4) - Companion Policy to NI 41-101General Prospectus Requirements

Appendix C - Amendments to NI 14-101 Definitions

Appendix D (Schedule 1) - Amendments to NI 44-101 Short Form Prospectus Distributions and Form NI 44-101F1 Short Form Prospectus of  National Instrument 44-101 Short Form Prospectus Distributions

Appendix D (Schedule 2) - Amendments to Form 44-101F1 Short Form Prospectus of  National Instrument 44-101 Short Form Prospectus Distributions

Appendix D (Schedule 3) - Companion Policy to NI 44-101 Short Form Prospectus Distributions

Appendix E (Schedule 1) - Amendments to NI 44-102 Shelf Distributions

Appendix F (Schedule 1) -  Amendments to NI 44-103 Post-Receipt Pricing

Appendix F (Schedule 2) -  Amendments to Companion Policy 44-103CP to National Instrument 44-103 Post-Receipt Pricing

Appendix G - Amendments to NI 45-101 Rights Offerings and Form 45-101F - Information Required in a Rights Offering Circular

Appendix H (Schedule 1) - Amendments to NI 51-102 Continuous Disclosure Obligations

Appendix I (Schedule 1) - Amendments to NI 81-101 Mutual Fund Prospectus Disclosure, Form 81-101F1 Contents of Simplified Prospectus, Form 81-101F2 Contents of Annual Information Form

Appendix J (Schedule 1) - Amendments to NI 81-104 Commodity Pools

Appendix K - Amendments to NP 43-201 Mutual Reliance Review System for Prospectuses

Appendix L - Related Amendments to Saskatchewan securities laws

CSA Press Release - Canadian Regulators Propose Harmonized Prospectus Rule for Market Participants dated December 21, 2006

 

Published for comment on December 21, 2006 Comment period ends on March 31, 2007
Request for Comment - Proposed amendments to National Instrument 55-101 Insider Reporting Exemptions. 

Notice - Request for Comment

Appendix A - amendments to National Instrument 55-101Insider Reporting Requirements

Appendix B - National Instrument 55-101 Insider Reporting Requirements - blacklined

Appendix C - Companion Policy 55-101CP - blacklined

Published on October 27, 2006 Comment period ends January 25, 2007.
Proposed National Instrument 23-102 Use of Client Brokerage Commissions as Payment for Order Execution Services or Research  ("Soft Dollar" Arrangements)

 Notice

Appendix A NI 23-102

NI 23-102

CP 23-102

Published on July 21, 2006 Comment period ends on October 19, 2006
Notice and Request for Comment - National Instrument 62-104 Take-Over Bids and Issuer Bids

Notice

Schedule 1 - Consequential Amendments to NI 62-103 The Early Warning System and Related Take-over Bid and Insider Reporting Issuers

NI 62-104

Companion Policy 62-104CP

Form 62-104F1 Take-Over Bid Circular

Form 62-104F2 Issuer Bid Circular

Form 62-104F3 Director's Circular

Form 62-104F4 Director's or Officer's Circular

Form 62-104F5 Notice of Change or Notice of Variation

Published on May 1, 2006 Comment period ends on July 28, 2006
CSA Discussion Paper 23-403 Trade Through Obligations

News Release

Discussion Paper

Published on July 22, 2005 Comment period ends on September 19, 2005
NI 81-107 Independent Review Committee for Investment Funds published for comment

News Release

NI 81-107

Notice

Appendix A - Summary of Comments

Appendix B - Decision Tree

Appendix C - Amendments to NI 81-101 Mutual Fund Prospectus Disclosure

Appendix D - Amendments to NI 81-102 Mutual Funds

Appendix E - Amendments to NI 81-106 Investment Fund Continuous Disclosure

Appendix F - Amendments to NI 13-101 System for Electronic Document Analysis and Retrieval (SEDAR)

Appendix G - Amendments to NI 44-101 Short Form Prospectus Distributions

Appendix H - Amendments to MI 81-104 Commodity Pools

Published on May 27, 2005 Comment period ends on August 25, 2005
Consultation Paper 81-403 - Rethinking Point of Sale Disclosure for Segregated Funds and Mutual Funds
Consultation Paper

Legal Paper
Published on February 14, 2003 Comment period ends on April 30, 2003

Local Instruments

None    

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