Financial and Consumer Affairs Authority of Saskatchewan

FCAA is Saskatchewan’s financial and consumer marketplace regulator.

45-308 – Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus and Registration Exemptions (National Notice) (Revised)

  • 45-308 – Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus and Registration Exemptions (National Notice) (Revised)

    • CSA Staff Notice 45-308 (Revised) Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions

      Effective Date:  October 4, 2018. First Published April 26, 2012. Revised June 25, 2015, April 7, 2016, September 29, 2016, July 19, 2018 and October 4, 2018

      Issuers and underwriters that rely on certain prospectus exemptions to distribute securities are required to file a report of exempt distribution on Form 45-106F1 Report of Exempt Distribution within a prescribed timeframe set out in National Instrument 45-106 Prospectus Exemptions.

      Staff of the Canadian Securities Administrators have prepared this revised Staff Notice to assist issuers, underwriters and their advisors in preparing and filing reports.

      csa_staff_notice_45_308_revised_guidance_for_preparing_and_filing_report_of_exempt_distribution.pdf
    • CSA Staff Notice 45-308 (Revised) Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions

      Effective Date:  July 19, 2018.  First Published April 26, 2012.  Revised June 25, 2015, April 7, 2016, September 29, 2016 and July 19, 2018.

      Issuers and underwriters that rely on certain prospectus exemptions to distribute securities are required to file a report of exempt distribution on Form 45-106F1 Report of Exempt Distribution within a prescribed timeframe set out in National Instrument 45-106 Prospectus Exemptions.  CSA Staff have prepared this revised Staff Notice to assist issuers, underwriters and their advisors in preparing the filing reports.  This notice replaces a prior version of this notice issued on September 29, 2016.
       

      csa_staff_notice_45_308_revised_july_19_2018.pdf
    • Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus and Registration Exemptions (National Notice)

      Effective Date:  April 26, 2012.  Revised April 7, 2016. Revised September 29, 2016

      Provides guidance to improve compliance of disclosure requirements related to prospectus exemptions - The Canadian Securities Administrators (CSA) today published two notices aimed at improving market participant compliance with exemptions to prospectus requirements. Staff Notice 45-308 Guidance for Preparing and Filing Reports of Exempt Distribution and Multilateral Staff Notice 45-309 Guidance for Preparing and Filing an Offering Memoranda, offer guidance related to disclosure rules found under National Instrument (NI) 45-106 Prospectus and Registration Exemptions.

      45_308_csa_staff_notice_revised_september_29_2016.pdf

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