Office of the Superintendent of Securities
CSA Notices
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Withdrawal of CSA Staff Notices Gives notice of CSA Staff Notices that are withdrawn because they are no longer required.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. |
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. |
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. |
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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24-301 |
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. |
31-312 |
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 |
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. |
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. |
44-302 |
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. |
45-301 |
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 |
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. |
47-302 |
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. |
51-304 |
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 |
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 |
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 |
55-308 |
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". |
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. |
62-305 |
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. |
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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