54-101 – Communication with Beneficial Owners of Securities of a Reporting Issuer (National Instrument)

54-101 – Communication with Beneficial Owners of Securities of a Reporting Issuer (National Instrument)

• Communication with Beneficial Owners of Securities of a Reporting Issuers

  Effective Date: July 1, 2002.  Consolidated to February 11, 2013.

  Requires reporting issuers to send proxy-related materials to the beneficial owners of its securities who are 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_101_ni_february_11_2013.pdf
• Amendments to National Instrument 54-101

  Effective Date: June 9, 2023. In Saskatchewan: June 20, 2023.

  54_101_ni_amendments_2023_03_23.pdf
• Companion Policy 54-101 CP

  Effective Date: July 1, 2002.  Consolidated to February 11, 2013.

  54_101_cp_february_11_2013.pdf
• Amendments to Companion Policy 54-101CP

  Effective Date: June 9, 2023. In Saskatchewan: June 20, 2023.

  54_101_cp_amendments_2023_03_23.pdf
• Form 54-101F1 Explanation to Clients and Client Response Form

  Effective Date: July 1, 2002.

  54_101_f1_july_1_2002.pdf
• Form 54-101F2 Request for Beneficial Ownership Information

  Effective Date: July 1, 2002.  Consolidated to February 11, 2013.

  54_101_f2_july_1_2002.pdf
• Form 54-101F3 Omnibus Proxy (Depositories)

  Effective Date: July 1, 2002.

  54_101_f3_july_1_2002.pdf
• Form 54-101F4 Omnibus Proxy (Proximate Intermediaries)

  Effective Date: July 1, 2002.

  54_101_f4_july_1_2002.pdf
• Form 54-101F5 Electronic Format for NOBO List

  Effective Date: July 1, 2002.

  54_101_f5_july_1_2002.pdf
• Form 54-101F6 Request for Voting Instructions made by Reporting Issuer

  Effective Date: July 1, 2002.  Consolidated to February 11, 2013.

  54_101_f6_july_1_2002.pdf
• Form 54-101F7 Request for Voting Instructions made by Intermediary

  Effective Date: July 1, 2002. Consolidated to February 11, 2013.

  54_101_f7_july_1_2002.pdf
• Form 54-101F9 Undertaking

  Effective Date: July 1, 2002.  Consolidated to February 11, 2013.

  54_101_f9_july_1_2002.pdf
• Form 54-101F10 Undertaking

  Effective Date: February 11, 2013.

  54_101_f10_july_1_2002.pdf