Office of the Superintendent of Securities
CSA Policies
11-201
|
National Policy In effect Jan 1, 2000.
|
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
|
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
|
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. |
12-202 |
National Policy In effect July 27, 2007. |
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. |
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
|
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. |
12-309 |
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. |
34-202
|
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. |
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 |
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. |
47-201
|
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. |
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 |
58-201
|
National Policy In effect June 30, 2005 |
Corporate Governance Practices Provides guidance on corporate governance practices. |
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. |
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. |
Table last updated November 19, 2009 |
||
