11-501 – Conflicts of Interest (Local Instrument) (Repealed)

11-501 – Conflicts of Interest (Local Instrument) (Repealed)

• Conflicts of Interest
  Effective Date: May 9, 2003

  Sets out conflict of interest rules that govern Commission members and employees who administer the provisions of The Securities Act, 1988.

  11_501li.pdf
• Amendments to Local Instrument 11-501

  Effective Date: June 23, 2020.

  11_501_li_amendments_june_24_2020.pdf
• Amendments to Local Instrument 11-501

  Effective Date: Subject to ministerial approval.

  11_501_local_notice_annex_a_li_amendments_january_17_2020.pdf
• Form 11-501F1 Initial Undertaking11_501form1.pdf
• Form 11-501F2 Annual Certificate of Compliance11_501form2.pdf
• Form 11-501F3 Portfolio Statement11_501form3.pdf
• Companion Policy 11-501CP

  Effective Date: May 9, 2003

  11_501cp.pdf
• Changes to Companion Policy 11-501CP

  Effective Date: Subject to ministerial approval.

  11_501_local_notice_annex_b_cp_changes_january_17_2020.pdf