Office of the Superintendent of Securities
Consolidated Instruments List: CSA Notices, CSA Policies, CSA Notices, and NWT Local Rules
11-102 |
Multilateral Instrument |
Implements, in the main areas of securities regulation, a system that gives a market participant access to the capital markets in multiple jurisdictions by dealing only with its principal regulator and meeting the requirements of one set of harmonized rules. Amendments in effect April 30, 2010 |
11-201
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National Policy In effect Jan 1, 2000.
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Delivery of Documents by Electronic Means States the views of the CSA on how obligations imposed by securities legislation to deliver documents can be satisfied by electronic means. Amendments In effect Feb 14, 2003 |
11-202
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National Policy In effect March 17, 2008 |
Process for Prospectus Reviews in Multiple Jurisdictions 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. Amendments to NP 11-202 in effect September 28, 2009 |
11-203
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National Policy In effect March 17, 2008 |
Process for Exemptive Relief Applications in Multiple Jurisdictions 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. Amendments to NP 11-203 in effect September 28, 2009 |
11-204 |
National Policy In effect September 28, 2009 |
Process for Registration in Multiple Jurisdictions Describes procedures for a firm or individual to register in more than one Canadian jurisdiction. |
11-305 |
CSA Staff Notice January 16, 2004 |
Withdrawal of CSA Staff Notice 42-301 and 52-302 Gives notices of withdrawal of CSA Staff Notices 42-301and 52-302 Dual Reporting of Financial Information effective March 30, 2004. Dual reporting issuers should refer to NI 52-107. |
11-309 |
CSA Staff Notice March 3, 2006 |
Withdrawal of CSA Staff Notices Gives notice of CSA Staff Notices that are withdrawn because they are no longer required. |
11-312 |
CSA Staff Notice February 19, 2010 |
Sets out the system for numbering securities regulatory instruments. |
11-313 |
CSA Staff Notice February 19, 2010 |
Withdrawal of Notices and Policies Withdraws a number of CSA notices and policies. |
11-801 |
NWT Implementing Rule October 26, 2008, as amended to January 28, 2010 |
Adoption of Existing CSA Instruments (French Version) This instrument adopts all national and multilateral instruments, subject to such minor changes as are necessary to apply these instruments in the Northwest Territories (e.g. changes to section references to refer to the new Act; changes to NWT contact information). |
11-802 |
NWT Implementing Rule September 28, 2009 |
Adoption of Multilateral Instrument 11-102 (French Version) Adopts Multilateral Instrument 11-102, repeals Multilateral Instrument 11-101, and makes consequential amendments to NWT Implementing Rule 11-801. |
12-202 |
National Policy In effect July 27, 2007. |
National Policy 12-202 Revocation of a Compliance-related Cease Trade Order 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. Amendments to NP 12-202 in effect March 17, 2008. |
12-203 |
National Policy In effect September 1, 2008. |
Cease Trade Orders for Continuous Disclosure Defaults Provides guidance to reporting issuers, investors and market participants as to how the CSA will generally respond to certain types of continuous disclosure defaults. |
12-304
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National Policy In effect August 11, 2000 |
Mutual Reliance Review System for Exemptive Relief Applications Frequently Occurring Issues Gives guidance on procedures and issues under the Mutual Reliance Review System for Exmeptive Relief Applications. |
12-307 |
CSA Staff Notice Sept 12, 2003. Revised: |
Applications for a Decision that an Issuer is not a Reporting Issuer Sets out a revised procedure for applications to cease to be a reporting issuer. |
12-309 |
National Policy In effect September 19, 2005 |
Impact of the Principal Regulator System on the MRRS for Exemptive Relief Applications 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. |
12-501 |
NWT Local Rule October 26, 2008 |
Discretionary Exemptions (French Version) Where the new Act imposes new requirements that correspond with requirements in other Canadian jurisdictions and an exemption from such requirements has been granted by another Canadian jurisdiction, that exemption will be deemed to apply in the Northwest Territories, subject to the same terms and conditions that apply in the other jurisdiction. |
13-101 |
National Instrument |
NI 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) SEDAR Filer Manual Version 8.3 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. |
13-315 |
CSA Staff Notice February 19, 2010 |
Securities Regulatory Authority Closed Dates 2010 Sets out the list of closed dates of the securities regulatory authorities for 2010. |
14-101 |
National Instrument |
Sets out the definitions of terms used in more than one national instrument for the purpose of interpreting all national instruments. Amendments in effect April 30, 2010 |
21-101 |
National Instrument |
Regulates all securities marketplaces operating in Canada including exchanges, quotation and trade reporting systems and alternate trading systems. Amendments to NI 21-101 Marketplace Operation in effect January 28, 2010 Form 21-101F2 - Initial Operation Report Alternative Trading System Form 21-101F5 - Inital Operation Report for Information Processor Amendments to Companion Policy 21-101CP in effect January 28, 2010 |
21-801 |
NWT Local Rule January 28, 2010 |
Marketplace Operation and Trading Rules (French Version) Adopts amendments made by the Canadian Securities Administrators to National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules and makes consequential amendments to NWT Implementing Rule 11-801. |
23-101 |
National Instrument |
Sets out common trading rules that apply to all trading whether on a marketplace or not. Amendments to NI 23-101 Trading Rules in effect January 28, 2010 Amendments to Companion Policy 23-101CP in effect January 28, 2010 |
23-102 |
National Instrument |
Use of Client Brokerage Commissions Sets out requirements pertaining to brokerage transactions involving client brokerage commissions that are directed to a dealer in return for the provision of order execution goods and services or research goods and services. |
23-302 |
CSA Staff Notice April 15, 2005 |
Joint Regulatory Notice - Electronic Audit Trail Initiative (TREATS) Provides an update on the Transaction Reporting Electronic Audit Trail System 5(TREATS). TREATS is to fulfill the audit trail requirements introduced in NI 23-101 Trading Rules |
23-304 |
Joint CSA/SRO Notice March 17, 2006 |
Status of the Transaction Reporting and Electronic Audit Trail System (TREATS) Gives an update on the status of TREATS, a proposed system to facilitate compliance with the audit trail requirements introduced in NI 23-101 Trading Rules. |
23-307 |
CSA Staff Notice February 19, 2010 |
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24-101 |
National Instrument |
Institutional Trade Matching and Settlement Provides a general framework in provincial securities regulation for ensuring more efficient and timely settlement processing of trades, particularly institutional trades. Form 24-101F1 Registrant Exception Report of DAP/RAP Trade Reporting and Matching Form 24-101F3 Matching Service Utility Notice of Operations Form 24-101F4 Matching Service Utility Notice of Cessation of Operations |
24-301 |
CSA Staff Notice February 11, 2005 |
Provides an update on industry and regulatory developments on straight through processing and a summary of the comments received on Discussion Paper 24-401 released on April 16, 2004. |
24-302 |
CSA Staff Notice March 3, 2006 |
Entitlement to Payments to The Canadian Depository for Securities Limited (CDS) Encourages issuers and offerors that pay entitlements in Canadian dollars to CDS for distribution to CDS participants, to make such payments using the Large Value Transfer System (LVTS) operated by the Canadian Payments Association. |
24-303 |
CSA Staff Notice December 8, 2006 |
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24-305 |
CSA Staff Notice December 14, 2007 |
Frequently Asked Questions about NI 24-101 Institutional Trade Matching and Settlement |
24-306 |
CSA Staff Notice February 1, 2008 |
Exception Reporting under NI 24-101 Institutional Trade Matching and Settlement Sets out information on how to make exception reports under NI 24-101 |
24-307 |
CSA Staff Notice April 4, 2008 |
Informs stakeholders of the decision of the CSA to extend the transitional phase-in period in NI 24-101 by an additional 24 months. |
31-102 |
National Instrument |
National Registration Database Requires that certain registration information, including applications for registration by individuals, be submitted to regulators electronically through the NRD. |
31-103 |
National Instrument |
Registration Requirements and Exemptions Registration requirements for firms and individuals who sell securities and exchange contracts, offer investment advice or manage investment funds. |
31-312 |
CSA Staff Notice August 7, 2009 |
Summarizes the key requirements and transition process of the new exempt market dealer category |
31-313 |
CSA Staff Notice December 18, 2009 |
NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions |
31-314 |
CSA Staff Notice February 5, 2010 |
Supplements the CSA Staff Notice 31-313 - NI 31-104 Registration Requirements and Exemptions and Related Instruments - Frequently Asked Questions as of December 18, 2009. The questions addressed in this notice all relate to financial reporting requirements during the first year under the new registration regime that was introduced on September 28, 2009. |
31-315 |
CSA Staff Notice February 25, 2010 |
Since the coming into force of NI 31-103 Registration Requirements and Exemptions, the CSA have received applications requesting exemptions from certain provisions of the Instrument. CSA members have issued orders which have been published with this notice |
31-501 |
NWT Local Rule September 28, 2009 |
Registration (French Version ) Adopts the national registration rule. Registrations that are current on the coming into force date will expire on December 31st but will become permanent when they are renewed. |
31-801 |
NWT Implementing Rule September 28, 2009 |
Adoption of National Instruments 31-103 and 33-109 (French Version) Adopts National Instruments 31-103 and 33-109, repeals National Instruments 31-101, 33-102, and 33-109, and makes consequential amendments to NWT Implementing Rule 11-801. |
33-105 |
National Instrument |
Imposes requirements on distributions where the relationship between the selling security holder and the registrant acting as underwriter raises the possibility of a conflict between its own interests or those of the selling security holder, and those of investors. |
33-109 |
National Instrument |
Consolidates and harmonizes requirements regarding initial submission of registration information and updating that information. Please note that applications for registration of a corporation or partnership must include an address for service within the Northwest Territories. If you wish to retain a law firm for this purpose, please refer to www.lawsociety.nt.ca for a list of law firms located in the Northwest Territories. 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 Form 33-109F6 Firm Registration Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals |
33-308 |
CSA Staff Notice Sept 19, 2003 |
The CSA STP Readiness Survey Report is Now Available on the OSC Web site Gives notice that the STP Readiness Survey Report is available on the OSC Web site. |
33-311 |
CSA Staff Notice June 12, 2009 |
Describes how CSA staff and IIROC foresee transitioning firms and individuals from the existing registration regime to the new registration regime under NI 31-103. |
33-313 |
CSA Staff Notice Sept. 12, 2008 |
International Financial Reporting Standards and Registrants Reminds registrants that the changeover to International Financing Reporting Standards announced by the Canadian Accounting Standards Board applies to certain registrants. |
33-314 |
CSA Staff Notice July 10, 2009 |
International Financial Reporting Standards and Registrants Gives notice of CSA staff's views on whether registrants are required to use International Financial Reporting Standards for financial years beginning on or after January 1, 2011. |
33-315 |
CSA Staff Notice September 2, 2009 |
Suitability Obligation and Know Your Product Reminds registrants of their duty under securities law to satisfy their suitability obligations to clients, and provides guidance on how to do that. |
34-202
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Multilateral Policy In effect Oct 16, 1998. |
Registrants Acting as Corporate Directors 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. |
35-101 |
National Instrument |
NI 35-101 Conditional Exemption From Registration for United States Broker-dealers and Agents Provides U.S. broker-dealers and their agents with a conditional exemption from the applicable registration and prospectus requirements under Canadian securities legislation. |
41-101 |
National Instrument |
General Prospectus Requirements Creates a comprehensive, seamless and transparent set of national prospectus requirements for all issuers including investment funds, other than mutual funds filing a prospectus under NI 81-101. Form 41-101F1 Information Required in a Prospectus in effect March 17, 2008 Form 41-101F2 Information Required in an Investment Fund Prospectus in effect March 17, 2008 Form 41-101F2 Information Required in an Investment Fund Prospectus in effect September 8, 2008 |
41-201 |
National Policy In effect December 3, 2004. |
Income Trusts and Other Indirect Offerings Establishes a mutual reliance review system for prospectuses and AIFs. Amendments to NP 41-201 In effect December 31, 2007 |
43-101 |
National Instrument |
Standards of Disclosure for Mineral Projects 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. |
43-302 |
CSA Staff Notice October 19, 2001. Revised February 8, 2002. Revised January 24, 2003 |
Sets out frequently asked questions and answers respecting National Instrument 43-101 Standards of Disclosure for Mineral Projects. |
43-306 |
June 2, 2006 |
Technical reports filed for prospectus offerings Sets out planned a change to administrative practices related to: 1. public access to technical reports and related materials filed with preliminary prospectuses; and 2. the technical materials an issuer must file before a member of the CSA will issue a receipt for a preliminary prospectus. |
44-101 |
National Instrument |
Short Form Prospectus Distributions Prescribes conditions for the use of a short form prospectus to distribute securities to the public. Replaces National Policy Statement 47 Prompt Offering Qualification System. Form 44-101F1 Short Form Prospectus CSA Notice 44-301 Frequently Asked Questions Regarding the New Prospectus Rules 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. |
44-102 |
National Instrument |
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"). |
44-103 |
National Instrument |
Regulates the Canadian post-receipt pricing regime. Reformulates and replaces the provisions of NP44 relating to post-receipt pricing. |
44-302 |
CSA Staff Notice 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. |
44-303 |
CSA Staff Notice March 10, 2006 |
Filing of Notice of Intent to be Qualified under NI 44-101 Short Form Prospectus Distributions Sets out how to file a Notice of Intent to be Qualified under NI 44-101 on SEDAR. |
44-304 |
CSA Staff Notice July 20, 2007 |
CSA Staff Notice 44-304 Linked Notes Distributed Under Shelf Prospectus System Provides guidance tot issuers that intend to qualify linked notes for distribution by way of a shelf prospectus. |
45-101 |
National Instrument |
Sets out how an issuer may make rights offering to sell additional securities of its own issue to holders of its securities. |
45-102 |
Multilateral Instrument |
Implements uniform first trade restrictions for securities acquired under registration and prospectus exemptions. |
45-106 |
National Instrument |
Prospectus and Registration Exemptions Sets out exemptions from the prospectus and registration requirements in the Act. Form 45-106F1 Report of Exempt Distributions Form 45-106F2 Offering Memorandum for Non-Qualifying Issuers Form 45-106F3 Offering Memorandum for Qualifying Issuers |
45-301 |
CSA Staff Notice November 30, 2001 |
Implementation of Multilateral Instrument 45-102 Resale of Securities Clarifies the application of Multilateral Instrument 45-102 Resale of Securities to resource issuers. |
45-304 |
CSA Staff Notice September 28, 2009 |
Lists the prospectus and registration exemptions in each jurisdiction that are not included in NI 45-106 or NI 31-103 |
45-801 |
NWT Implementing Rule September 28, 2009 |
Adoption of National Instrument 45-106 (French Version) Adopts National Instruments 45-106 and makes consequential amendments to NWT Implementing Rule 11-801. |
46-201
|
National Policy In effect June 30, 2002 |
NP 46-201 Escrow for Initial Public Offerings 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. |
46-303 |
CSA Staff Notice July 7, 2006 |
Deals with the CSA's concerns about the distribution and sale of principal protected notes and the CSA's proposed course of action. |
46-304 |
CSA Staff Notice July 27, 2007 |
Update of Principal Protected Notes Provides an updated on the CSA's consideration on principal protected notes. |
46-305 |
CSA Staff Notice August 29, 2008 |
Second Update on Principal Protected Notes Provides an update on the CSA's review of principal protected notes and the recent coming into force of federal regulations applicable to principal protected notes. |
47-201
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National Policy In effect Jan 1, 2000. |
Trading Securities Using the Internet and Other Electronic Means 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. |
47-302 |
CSA Staff Notice April 21, 2006 |
Pre-marketing of underwriters' options on bought deals Sets out staffs' views that the exemption from the prospectus requirement in para 7.1(a) of NI 44-101 that permits pre-marketing of bought deals does not apply to securities acquired by underwriters under an option granted by an issuer. |
51-101 |
National Instrument |
Standards of Disclosure for Oil and Gas Activities Sets out disclosure requirements for oil and gas issuers. Form 51-101F1- Statement of Reserves Data and Other Oil and Gas Information Form 51-101F2- Report on Data by Independent Qualified Reserves Evaluator Form 51-101F3- Report of Management and Directors on Oil and Gas Disclosure List of professional organizations which supersede the list in section 1.5(b) |
51-102 |
National Instrument |
Continuous Disclosure Obligations Harmonizes continuous disclosure (CD) requirements among Canadian jurisdictions, replaces most existing local CD requirements, enhances the consistency of disclosure in the primary and secondary securities markets, and facilities capital-raising initiatives such as an integrated disclosure system. Form 51-102F1 Management's Discussion and Analysis Form 51-102F2 Annual Information Form Amendments to Form 51-102F2 in effect December 31, 2007 Amendments to Form 51-102F2 in effect March 17, 2008 Form 51-102F3 Material Change Report Form 51-102F4 Business Acquisition Report Form 51-102F5 Information Circular Form 51-102F6 Executive Compensation (in respect of financial years ending before December 31, 2008) in effect December 31, 2008 Form 51-102F6 Statement of Executive Compensation (in respect of financial years ending on or after December 31, 2008)Amendments to Form 51-102F6 in effect December 31, 2008 Form 51-102F6 Statement of Executive Compensation (in respect of financial years ending on or after December 31, 2008) in effect December 31, 2008 |
51-201 |
National Policy In effect July 12, 2002 |
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. Amendments to NP 51-201 In effect December 31, 2007 |
51-304 |
CSA Staff Notice November 4, 2002 |
Report on Staff's Review of Executive Compensation Disclosure Reports findings of staff's review (May to September, 2002) of issuers' executive compensation disclosure in management information circulars. Provides guidance in complying with disclosure requirements. |
51-309 |
CSA Staff Notice January 19, 2004. Updated March 9, 2007. |
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. |
51-320 |
CSA Staff Notice September 8, 2006 |
Provides guidance on the issue of backdating of options granted by reporting issuers in Canada. |
51-322 |
CSA Staff Notice December 15, 2006 |
Sets out the deficiencies that will result in a reporting issuer being noted in default of securities laws. |
51-324 |
CSA Staff Notice December 28, 2007 |
Glossary to NI 51-101 Standards of Disclosure for Oil & Gas Activities Defines a number of terms used in NI 51-101, its forms and companion policy and provides that terms used in NI 51-101 that are not defined in NI 51-101, NI 14-101 or the securities statutes in the jurisdiction have the same meaning or interpretation set out in the COGE Handbook. |
51-326 |
CSA Staff Notice August 13, 2008 |
Continuous Disclosure Review Program Activities for Fiscal 2008 Summarizes the results of the CSA's continuous disclosure (CD) review program of reporting issuers for the fiscal year ending March 31, 2008. Also gives an overview of how the the CD review program works. |
51-327 |
CSA Staff Notice February 27, 2009 |
Oil and Gas Disclosure: Resources Other Than Reserves Data Provides guidance on recurring issues that CSA staff has found in reviewing reporting issuers' disclosure of resources other than reserves data. |
51-328 |
CSA Staff Notice January 8, 2009 |
Continuous Disclosure Considerations Related to Current Economic Conditions Gives notice of specific areas that issuers should note for disclosure to help investors understand the risks and circumstances facing issuers in the current unusual economic conditions. |
51-329 |
CSA Staff Notice July 24, 2009 |
Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2009 Summarizes the results of the CSA's continuous disclosure (CD) review program of reporting issuers other than investment funds for the fiscal year ended March 31, 2009. Also highlights certain elements to assist issuers with their accounting and CD requirements as applicable to financial statements and management's discussion and analysis. |
51-330 |
CSA Staff Notice November 20, 2009 |
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51-330 |
CSA Staff Notice November 20, 2009 |
Report on Staff's Review of Executive Compensation Disclosure |
51-802 |
NWT Implementing Rule December 31, 2008 |
Continuous Disclosure Obligations (French Version) Adopts amendments made by the Canadian Securities Administrators to National Instrument 51-102 Continuous Disclosure Obligations. |
52-107 |
National Instrument |
Acceptable Accounting Principles, Auditing Standards and Reporting Currency 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. |
52-108 |
National Instrument |
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. |
52-109 |
Multilateral Instrument |
Restated NI 52-109 Certification of Disclosure in Issuer's Annual and Interim Filings Requires the CEO and CFO of an issuer to personally certify the issuer's annual and interim filings with respect to certain matters. Form 52-109F1 - Certification of Annual Filings Full Certificate Form 52-109FV1 - Certification of Annual Filings Venture Issuer Basic Certificate Form 52-109F1R - Certification of Refiled Annual Filings Form 52-109F1-AIF - Certification of Annual Filings in Connection With Voluntarily Filed AIF Form 52-109F2 - Certification of Interim Filings Full Certificate Form 52-109FV2 - Certification of Interim Filings Venture Issuer Basic Certificate |
52-110 |
National Instrument |
Requires reporting issuers to have audit committees which are responsible for overseeing the issuer's auditors, and other matters relating to the auditors. Form 52-110F1 - Audit Committee Information Required in an AIF |
52-306 |
CSA Staff Notice November 14, 2003. Amended August 4, 2006. |
Provides guidance to issuers who disclose financial measures other than those prescribed by GAAP |
52-309 |
CSA Staff Notice May 6, 2005 |
MI 52-110 Audit Committees Compliance Review 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 |
52-311 |
CSA Staff Notice 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. |
52-312 |
CSA Staff Notice January 13, 2006 |
Audit Committee Compliance Review Outlines the results of CSA staff review of compliance with MI 52-110 Audit Committees. |
52-314 |
CSA Staff Notice June 29, 2006 |
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52-315 |
CSA Staff Notice September 22, 2006 |
Certification Compliance Review 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. |
52-316 |
CSA Staff Notice September 22, 2006 |
Certification of Design of Internal Controls over Financial Reporting 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. |
52-317 |
CSA Staff Notice February 9, 2007 |
Communicates the CSA's plans for publishing amendments to NI 52-109 and the proposed effective date of the revised certification requirements. |
52-318 |
CSA Staff Notice June 29, 2007 |
Audit Committee Follow-Up Compliance Review Outlines the results of the follow-up review necessitated by the inadequate compliance with Multilateral Instrument 52-110 Audit Committees . |
52-320 |
CSA Staff Notice June 9, 2008 |
Provides guidance to issuers on disclosure of expected changed in accounting policies relating to an issuer's changeover to International Financial Reporting Standards as the basis for preparing its financial statements. |
52-321 |
CSA Staff Notice June 27, 2008 |
Updates the market on CSA staff's views on the issues addressed in CSA concept paper 52-402 Possible changes to securities rules relating to International Financial Reporting Standards published on February 13, 2008 |
52-322 |
CSA Staff Notice In effect, July 11, 2008 |
Updates market participants on the status of the initiative to repeal and replace MI 52-109. |
52-324 |
CSA Staff Notice May 21, 2009 |
Issues relating to changeover to International Financial Reporting Standards Provides on update on issues related to the changeover to International Financial Reporting Standards beginning January 1, 2011. |
52-325 |
CSA Staff Notice September 11, 2009 |
Certification Compliance Review Outlines the results of a recent review of compliance with National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings |
52-809 |
NWT Implementing Rule December 15, 2008 |
Certification of Disclosure in Issuers Annual and Interim Filings (French Version) Repeals and replaces National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings and adopts amendments to Form 51-102F1 Management's Discussion & Analysis. |
54-101 |
National Instrument |
Communication with Beneficial Owners of Securities of a Reporting Issuer 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 security holder material to the beneficial owners. Imposes obligations on various parties in the security holder communication process. |
54-301 |
CSA Staff Notice April 4, 2003 |
Provides answers to frequently asked questions about National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer |
55-101 |
National Instrument |
Provides certain exemptions from the insider reporting obligation. To be repealed effective April 30, 2010 To be repealed effective April 30, 2010 |
55-102 |
National Instrument |
System for Electronic Disclosure by Insiders (SEDI) 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. |
55-103 |
Multilateral Instrument |
Insider Reporting for Certain Derivative Transactions (Equity Monetization) 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. To be repealed effective April 30, 2010 To be repealed effective April 30, 2010 |
55-104 |
National Instrument |
Insider Reporting Requirements and Exemptions in effect April 30, 2010 Sets out the main insider reporting requirements and exemptions from those requirements for insiders of reporting issuers. Companion Policy 55-104CP in effect April 30, 2010 |
55-308 |
CSA Staff Notice November 15, 2002 |
Questions on Insider Reporting Provides questions and answers on insider reporting. |
55-310 |
CSA Staff Notice April 11, 2003 Revised August 19, 2005 |
Provides questions and answers on using SEDI |
55-312 |
CSA Staff Notice February 27, 2004 |
Insider Reporting Guidelines for Certain Derivative Transactions (Equity Monetization) Provides guidance to insiders on reporting of derivative-based transactions which are commonly referred to as "equity monetization" transactions. |
55-314 |
CSA Staff Notice February 23, 2007 |
Provides guidance on the interpretation of the terms "senior officer", "officer" and "insider". |
55-501 |
NWT Local Rule October 26, 2008 |
Insider Trading Reporting (French Version) This rule replaces the current reporting requirements under the Business Corporations Act and is most closely modeled on the reporting requirements under Alberta and Saskatchewan securities legislation. |
58-101 |
National Instrument |
Disclosure of Corporate Governance Practices Requires issuers to disclose the corporate governance practices that it has adopted. Also requires issuers to file any written code that they have adopted. |
58-201
|
National Policy In effect June 30, 2005 |
Corporate Governance Practices Provides guidance on corporate governance practices. |
58-303 |
CSA Staff Notice June 29, 2007 |
CSA Staff Notice 58-303 Corporate Governance Disclosure Compliance Review Results of a review of compliance with the requirements of National Instrument 58-101 Disclosure of Corporate Governance Practices |
58-305 |
CSA Staff Notice November 13, 2009 |
Status Report on the Proposed Changes to the Corporate Governance Regime |
61-301 |
CSA Staff Notice Dec 10, 1999. |
Staff Guidance on the Practice of "Mini-Tenders" Sets out CSA staff's views on mini-tenders. |
62-103 |
National Instrument |
Early Warning System & Related Take-over Bid & Inside Reporting Issues 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. Amendment in effect April 30, 2010 |
62-104 |
Multilateral Instrument |
Take-Over Bids and Issuer Bids in effect February 1, 2008 Harmonizes and consolidates take-over and issuer bid regimes across the CSA Jurisdictions, other than Ontario. Form 62-104F1 Take-Over Bid Circular Form 62-104F2 Issuer Bid Circular Form 62-104F3 Directors' Circular |
62-202
|
National Policy In effect Aug 4, 1997. |
Take-over Bids - Defensive Tactics 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. |
62-203
|
National Policy In effect Feb 1, 2008 |
Take-Over Bids and Issuer Bids 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. |
62-305 |
CSA Staff Notice December 18, 2009 |
Varying the Terms of Take-Over Bids Sets out the view of the CSA staff regarding the ability of an offeror in a formal take-over bid to vary the terms of a bid in a manner that makes the bid less favourable to offeree security holders. |
71-101 |
National Instrument |
The Multijurisdictional Disclosure System 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. |
71-102 |
National Instrument |
Continuous Disclosure and Other Exemptions Relating to Foreign Issuers Provides relief from most of the requirements of NI 51-102 Continuous Disclosure Obligations for certain foreign issuers. |
81-101 |
National Instrument |
Mutual Fund Prospectus Disclosure 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. Form 81-101F1 - Contents of Simplified Prospectus |
81-102 |
National Instrument |
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. |
81-104 |
Multilateral Instrument |
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. |
81-105 |
National Instrument |
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. |
81-106 |
National Instrument |
Investment Fund Continuous Disclosure Sets out continuous disclosure obligations of investment funds. Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance |
81-107 |
National Instrument |
Independent Review Committee for Investment Funds An independent oversight regime for all publicly offered investment funds that is intended to improve investment fund governance. |
81-305
|
National Policy 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. |
81-314 |
CSA Staff Notice March 18, 2005 |
Sets out staff's initial guidance in response to the 2005 federal budget proposal to remove foreign content restrictions for registered plans. |
81-315 |
CSA Staff Notice November 25, 2005 |
Frequently Asked Questions on NI 81-106 Investment Fund Continuous Disclosure Sets out a list of frequently asked questions on staff's response to those questions. |
81-316 |
CSA Staff Notice January 12, 2006 |
Summarizes the findings of a sample-based review of hedge funds in Canada |
81-317 |
CSA Staff Notice March 30, 2007 |
FAQ to assist issuers in complying with NI 81-107 |
Table last updated March 17, 2010 |
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